# EDGAR Filing Document

**Accession Number:** 0001875501
**File Stem:** 0001062993-23-007401
**Filing Date:** 2023-3
**Character Count:** 10087
**Document Hash:** 947c9c3e61b903f6d34a8983e063a0c8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-007401.hdr.sgml**: 20230321

**ACCESSION NUMBER**: 0001062993-23-007401

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230321

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230321

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Mackay Sean
- **CENTRAL INDEX KEY:** 0001875501

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40894
- **FILM NUMBER:** 23750228

**MAIL ADDRESS:**
- **STREET 1:** 35 NORTH EAST INDUSTRIAL ROAD
- **CITY:** BRANFORD
- **STATE:** CT
- **ZIP:** 06405
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** IsoPlexis Corp
- **CENTRAL INDEX KEY:** 0001615055
- **STANDARD INDUSTRIAL CLASSIFICATION:** LABORATORY ANALYTICAL INSTRUMENTS [3826]
- **IRS NUMBER:** 462179799
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 35 NE INDUSTRIAL ROAD
- **CITY:** BRANFORD
- **STATE:** CT
- **ZIP:** 06405
- **BUSINESS PHONE:** 203-208-4111

**MAIL ADDRESS:**
- **STREET 1:** 35 NE INDUSTRIAL ROAD
- **CITY:** BRANFORD
- **STATE:** CT
- **ZIP:** 06405

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Mackay Sean<br><sub>(Last) (First) (Middle)</sub><br>C/O ISOPLEXIS CORPORATION<br>35 NE INDUSTRIAL ROAD<br><sub>(Street)</sub><br>BRANFORD, CT 06405<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-21 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Executive Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>IsoPlexis Corp [ ISO ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-21 |  | D |  | 914366 | D | <sup>(1)</sup> | 0 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option | $0.2788 | 2023-03-21 |  | D |  |  | 834 | <sup>(3)</sup> | 2025-10-31 | Common Stock | 834 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.2788 | 2023-03-21 |  | D |  |  | 19000 | <sup>(4)</sup> | 2025-10-31 | Common Stock | 19000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.44 | 2023-03-21 |  | D |  |  | 52000 | <sup>(5)</sup> | 2026-10-19 | Common Stock | 52000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.7263 | 2023-03-21 |  | D |  |  | 14000 | <sup>(6)</sup> | 2027-10-04 | Common Stock | 14000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.7263 | 2023-03-21 |  | D |  |  | 14000 | <sup>(7)</sup> | 2027-10-04 | Common Stock | 14000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.7263 | 2023-03-21 |  | D |  |  | 112000 | <sup>(8)</sup> | 2027-10-04 | Common Stock | 112000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.7263 | 2023-03-21 |  | D |  |  | 24000 | <sup>(9)</sup> | 2028-01-15 | Common Stock | 24000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.7263 | 2023-03-21 |  | D |  |  | 48000 | <sup>(10)</sup> | 2028-02-11 | Common Stock | 48000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.7263 | 2023-03-21 |  | D |  |  | 52000 | <sup>(11)</sup> | 2028-06-28 | Common Stock | 52000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.7263 | 2023-03-21 |  | D |  |  | 40000 | <sup>(12)</sup> | 2028-09-26 | Common Stock | 40000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $0.9625 | 2023-03-21 |  | D |  |  | 96000 | <sup>(13)</sup> | 2028-12-13 | Common Stock | 96000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $1.0275 | 2023-03-21 |  | D |  |  | 680000 | <sup>(14)</sup> | 2030-04-18 | Common Stock | 680000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $4.81 | 2023-03-21 |  | D |  |  | 744000 | <sup>(15)</sup> | 2031-06-07 | Common Stock | 744000 | <sup>(2)</sup> | 0 | D |  |
| Stock Option | $3.43 | 2023-03-21 |  | D |  |  | 296100 | <sup>(16)</sup> | 2032-03-31 | Common Stock | 296100 | <sup>(2)</sup> | 0 | D |  |

---

### Footnotes:

(1) On March 21, 2023, pursuant to the Agreement and Plan of Merger, dated as of December 21, 2022 (the Merger Agreement), by and among IsoPlexis Corporation, a Delaware corporation (IsoPlexis), Berkeley Lights, Inc., a Delaware corporation (Berkeley Lights), and Iceland Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of Berkeley Lights, each share of common stock, par value $0.001, of IsoPlexis (IsoPlexis Common Stock) reported in this Form 4 was converted into the right to receive 0.6120 fully paid and nonassessable shares of common stock, par value $05, of Berkeley Lights (Berkeley Lights Common Stock), together with cash in lieu of fractional shares of Berkeley Lights Common Stock, if any, and any unpaid dividends or other distributions.

(2) On March 21, 2023, pursuant to the Merger Agreement, each IsoPlexis stock option (whether vested or unvested) reported in this Form 4 (a) if the per-share exercise price was equal to or greater than the average closing trading price for a share of IsoPlexis Common Stock rounded to the nearest one-tenth of a cent, as reported on The Nasdaq Stock Market LLC for the five most recent trading days ending on and including the third business day prior to March 20, 2023 (the Company Trading Price), was canceled for no consideration and (b) if the per-share exercise price was less than the Company Trading Price, was converted into a Berkeley Lights stock option of approximately equivalent value and generally on the same terms and conditions.

(3) Vested 25% on August 31, 2019 and thereafter in 36 equal monthly installments.

(4) Vested 25% on May 25, 2017 and thereafter in 36 equal monthly installments.

(5) Vested 25% on October 20, 2017 and thereafter in 36 equal monthly installments.

(6) Vested 25% on December 26, 2019 upon achievement of performance target and thereafter in 36 equal monthly installments.

(7) Vests 25% one year after achievement of sale target and thereafter in 36 equal monthly installments.

(8) Vested 25% on October 5, 2018 and thereafter in 36 equal monthly installments.

(9) Vested 25% on January 16, 2019 and thereafter in 36 equal monthly installments.

(10) Vested 25% on August 1, 2018 and thereafter in 36 equal monthly installments.

(11) Vested 25% on June 29, 2019 and thereafter in 36 equal monthly installments.

(12) Vested 25% on September 27, 2019 and thereafter in 36 equal monthly installments.

(13) Vested 25% on December 5, 2019 and thereafter in 36 equal monthly installments.

(14) Vested in full as of December 15, 2020.

(15) Vested 25% on June 8, 2020 and thereafter in 36 equal monthly installments.

(16) Vests 25% on March 31, 2023 and thereafter in 36 equal monthly installments.

**Signature:** /s/Sean Mackay  
**Date:** 2023-03-21

### Remarks:

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 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).

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.**