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As Of Filer Filing For·On·As Docs:Size Issuer Agent 1/30/18 Biocept Inc 8-K:8,9 1/30/18 2:161K ActiveDisclosure/FA |
Document/Exhibit Description Pages Size 1: 8-K Bioc-8K-01302018 HTML 21K 2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 91K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 30, 2018
BIOCEPT, INC.
(Exact name of registrant as specified in its charter)
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Delaware |
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80-0943522 |
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(State or other jurisdiction of incorporation) |
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(Commission File Number) |
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(I.R.S. Employer Identification No.) |
Registrant’s telephone number, including area code: (858) 320-8200
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒
On January 30, 2018, Biocept, Inc. (the “Company”) announced the closing of a “best efforts” public offering of 32,854,606 shares of its common stock and warrants to purchase up to an aggregate of 32,854,606 shares of its common stock at a combined offering price of $0.45. The warrants have a per share exercise price of $0.50, are exercisable immediately and will expire five years from the date of issuance. The Company received proceeds from the offering of approximately $13.3 million, after deducting the applicable placement agents’ fee and estimated offering expenses payable by the Company.
The offering was made pursuant to the Company’s effective registration statement on Form S-1 (Registration Statement No. 333-221648), which was declared effective by the Securities and Exchange Commission on January 25, 2018. Dawson James Securities, Inc. and WestPark Capital, Inc. acted as placement agents in connection with the offering. Dawson James Securities, Inc. served as sole bookrunner.
The form of the Warrant issued in connection with the offering is filed herewith as Exhibit 4.1.
Item 9.01Financial Statements and Exhibits.
(d) Exhibits
4.1Form of Warrant to Purchase Common Stock
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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BIOCEPT, INC. |
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Dated: January 30, 2018 |
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By: |
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/s/ Michael W. Nall |
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Name: |
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Title: |
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President and Chief Executive Officer
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| This ‘8-K’ Filing | Date | Other Filings | ||
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| Filed on / For Period End: | 1/30/18 | None on these Dates | ||
| 1/25/18 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/10/23 Biocept Inc. 10-Q 3/31/23 58:6.8M Donnelley … Solutions/FA 4/17/23 Biocept Inc. 10-Q/A 9/30/22 66:12M Donnelley … Solutions/FA 11/21/22 Biocept Inc. 10-Q 9/30/22 60:7.7M ActiveDisclosure/FA 11/10/22 Biocept Inc. 10-Q 6/30/22 62:7.7M ActiveDisclosure/FA 5/23/22 Biocept Inc. 10-Q 3/31/22 69:8.2M ActiveDisclosure/FA 4/05/22 Biocept Inc. 10-K 12/31/21 88:13M ActiveDisclosure/FA 2/15/22 Biocept Inc. 10-Q/A 9/30/21 75:10M ActiveDisclosure/FA 11/15/21 Biocept Inc. 10-Q 9/30/21 70:9.4M ActiveDisclosure/FA 8/16/21 Biocept Inc. 10-Q 6/30/21 71:9.7M ActiveDisclosure/FA 5/12/21 Biocept Inc. 10-Q 3/31/21 70:6.8M ActiveDisclosure/FA 3/31/21 Biocept Inc. 10-K 12/31/20 81:11M ActiveDisclosure/FA 11/16/20 Biocept Inc. 10-Q 9/30/20 70:8.7M ActiveDisclosure/FA 8/13/20 Biocept Inc. 10-Q 6/30/20 72:9.3M ActiveDisclosure/FA |