John Peter Gutfreund - Jul 28, 2022 Form 3 Insider Report for Oncocyte Corp (OCX)

Role: Director
Signature: /s/ John Peter Gutfreund
Stock symbol: OCX
Transactions as of: Jul 28, 2022
Transactions value $: $0
Form type: 3
Date filed: 8/8/2022, 04:28 PM
Next filing: Aug 17, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	OCX	Common Stock, no par value						3.09M	Jul 28, 2022	Footnote	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
holding	OCX	Series A Convertible Preferred Stock							Jul 28, 2022	Common Stock	1.18K	$1.53	Direct	F2
holding	OCX	Warrant to Purchase Common Stock							Jul 28, 2022	Common Stock	3.56M	$1.53	Footnote	F1, F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The securities are held by Halle Special Situations Fund LLC. John Peter Gutfreund is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of Halle Special Situations Fund LLC. In such capacity, Mr. Gutfreund may be deemed to beneficially own these securities.
F2	The 1,176.48 shares of Series A Convertible Preferred Stock are currently convertible into 768,941 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a beneficial ownership limitation of 4.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Preferred Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.
F3	The 3,564,728 warrants may be exercised to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The warrants are currently exercisable, subject to a beneficial ownership limitation of 4.99%, and expire on April 19, 2027.