IsoPlexis (ISO) Form 3 IsoPlexis / Jing Zhou ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person^*

Zhou Jing

(Last) (First) (Middle)

C/O ISOPLEXIS CORPORATION

35 NE INDUSTRIAL RD

(Street)

BRANFORD CT 06405

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/07/2021

3. Issuer Name and Ticker or Trading Symbol
IsoPlexis Corp [ ISO ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Scientific Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	(1)	10/28/2025	Common Stock	8,000(1)	0.2788	D
Stock Option (right to buy)	(2)	12/31/2025	Common Stock	1,600(2)	0.2788	D
Stock Option (right to buy)	(3)	01/30/2027	Common Stock	4,000(3)	0.4775	D
Stock Option (right to buy)	(4)	10/24/2027	Common Stock	22,000(4)	0.7263	D
Stock Option (right to buy)	(5)	12/13/2028	Common Stock	8,000(5)	0.9625	D
Stock Option (right to buy)	(6)	12/03/2029	Common Stock	30,000(6)	1.0275	D
Stock Option (right to buy)	(7)	12/14/2030	Common Stock	12,000(7)	1.83	D
Stock Option (right to buy)	(8)	06/07/2031	Common Stock	100,000(8)	4.81	D

Explanation of Responses:

1. Represents 8,000 time-vesting options. Time-vesting options were subject to a four-year time-based vesting schedule, with 25% vested on October 29, 2016 and the remainder vested in 36 equal installments every month thereafter.

2. Represents 1,600 time-vesting options. Time-vesting options were subject to a four-year time-based vesting schedule, with 25% vested on January 1, 2017 and the remainder vested in 36 equal installments every month thereafter.

3. Represents 4,000 time-vesting options. Time-vesting options were subject to a four-year time-based vesting schedule, with 25% vested on January 31, 2018 and the remainder vested in 36 equal installments every month thereafter.

4. Represents 22,000 time-vesting options. Time-vesting options are subject to a four-year time-based vesting schedule, with 25% vested on October 25, 2018 and the remainder vesting in 36 equal installments every month thereafter.

5. Represents 8,000 time-vesting options. Time-vesting options are subject to a four-year time-based vesting schedule, with 25% vested on December 5, 2019 and the remainder vesting in 36 equal installments every month thereafter.

6. Represents 30,000 time-vesting options. Time-vesting options are subject to a four-year time-based vesting schedule, with 25% vested on December 4, 2020 and the remainder vesting in 36 equal installments every month thereafter.

7. Represents 12,000 time-vesting options. Time-vesting options are subject to a four-year time-based vesting schedule, with 25% vesting on December 15, 2021 and the remainder vesting in 36 equal installments every month thereafter.

8. Represents 100,000 time-vesting options. Time-vesting options are subject to a four-year time-based vesting schedule, with 25% vesting on June 8, 2022 and the remainder vesting in 36 equal installments every month thereafter.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Shane Sevier, attorney-in-fact for Jing Zhou	10/07/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.