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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lucido Louis C. C/O BIOCORRX INC. 2390 EAST ORANGEWOOD, SUITE 500 ANAHEIM, CA 92806 |
X | X |
/s/ Louis C. Lucido | 03/02-05:00/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reported price in Column 4 is a weighted average price. These shares were purchased in three transactions at prices ranging from $1.40 to $1.45 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
(2) | Due to a clerical error in the Form 4 filed by the reporting person on January 5, 2021, the Form 4 incorrectly stated that the reporting person owned 261,926 shares directly. In fact, as of January 5, 2021, the reporting person owned 61,630 shares directly and 200,000 shares indirectly through Louis and Carolyn Lucido CRT LLC (the "LLC"). The difference of 296 shares was due to the aforesaid clerical error, which the reporting person did not discover until now. This Form 4 corrects the aforesaid errors in Table 1, Column 5. Following the reported transactions on January 22, 2021, the reporting person currently owns 63,630 shares directly. |
(3) | These shares were issued to the Louis C Lucido and Carolyn M. Lucido, or their Successors, as Trustee of the Lucido Family Trust, Dated May 23, 2017 (the "Lucido Trust") pursuant to a subscription agreement by and between BioCorRx Inc. and the Lucido Trust dated February 16, 2021, fully executed on February 23, 2021, and paid for on February 26, 2020. The Reporting Person may be deemed to have investment power over the Lucido Trust. |
(4) | Due to a clerical error in the Form 4 filed by the reporting person on January 5, 2021, the Form 4 incorrectly stated that the reporting person owned 261,926 shares directly. In fact, as of January 5, 2021, the reporting person owned 61,630 shares directly and 200,000 shares indirectly through the LLC. This Form 4 corrects the aforesaid errors in Table 1, Column 5. The reporting person's holdings with respect to the shares held by the LLC have not changed since April 3, 2019. |