Form 4 for IMDX Insight Molecular Diagnostics Inc.
Accepted 2023-07-03 00:00:00 ET · period of report 2023-06-30 · accession 0000899243-23-016837 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-07-03 | 2023-06-30 | IMDX | Gutfreund John Peter | Former Dir | J - Other | $0.00 | -3.09M | 0 | -100% | $0 |
| DI | 2023-07-03 | 2023-06-30 | IMDX | Gutfreund John Peter | Former Dir | J - Other | $0.00 | -3.56M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, no par value | 2023-06-30 | J | D | 3,085,047 | $0.00 | 0 | I See Footnotes | — | — | (F1) Represents shares of Common Stock of Oncocyte Corporation (the "Issuer"), no par value (the "Common Stock"), that were distributed by Halle Special Situations Fund LLC (the "Halle Fund") on a pro rata basis to its members (the "Halle Common Stock Distribution"). (F3) The Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owner of any securities covered by this statement. The Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of the Reporting Person in such securities. (F2) Represents shares of Common Stock directly beneficially owned by the Halle Fund. John Peter Gutfreund (the "Reporting Person") is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of the Halle Fund. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by the Halle Fund. |
| 2 | Derivative | Warrants to Purchase Common Stock | 2023-06-30 | J | D | 3,564,728 | $0.00 | 0 | I See Footnotes | $1.53 · — to 2027-04-19 | 3,001,876 Common Stock | (F8) Represents warrants to purchase shares of Common Stock (the "Warrants") that were distributed by the Halle Fund on a pro rata basis to its members (the "Halle Warrant Distribution"). (F3) The Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owner of any securities covered by this statement. The Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of the Reporting Person in such securities. (F10) Represents Warrants directly beneficially owned by the Halle Fund. The Reporting Person is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of the Halle Fund. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by the Halle Fund. (F9) The Warrants are currently exercisable, subject to a beneficial ownership limitation of 4.99%. |