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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 5
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b)
[_] Form 3 Holdings Reported
[_] Form 4 Transactions Reported
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1. Name and Address of Reporting Person*
Himick David --
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(Last) (First) (Middle)
1905 Newman Drive
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(Street)
Trenton, MI 48183
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Bio-Plexus, Inc. (BPLX)
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3. IRS Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
December 31, 1999
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
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7. Individual or Joint/Group Filing
(Check applicable line)
[X] Form Filed by one Reporting Person
[_] Form Filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
5. 6.
4. Amount of Owner-
Securities Acquired (A) or Securities ship
Disposed of (D) Beneficially Form: 7.
2. (Instr. 3, 4 and 5) Owned at End Direct Nature of
Transaction 3. ----------------------------- of Issuer's (D) or Indirect
1. Date Transaction (A) Fiscal Year Indirect Beneficial
Title of Security (Month/Day/ Code Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 12/31/98 A 1,238 A D
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Common Stock 3/31/99 A 1,307 A D
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Common Stock 8/30/99 A 634 A D
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Common Stock 11/2/99 A 705 A 1,527,101(1) D
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</TABLE>
* If the form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Over)
(Print or Type Responses)
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FORM 5 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
9. 10.
Number Owner-
of ship
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- Securities Date Securities Price Bene- ity: In-
cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ Code 4, and 5) Date Expira- Number ity Year (I) ship
Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Directors Stock
Option (2) Common
(Right to Buy) 4.25 7/19/99 A 1,000 7/19/00 7/19/04(3) Stock 1,000 1,000 D
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Directors Stock
Option (2) Common
(Right to Buy) 5.00 8/20/99 D(4) 1,000 4/1/98 4/1/02 Stock 1,000 -- D
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Directors Stock
Option (2) Common
(Right to Buy) 4.25 8/20/99 A(5) 1,000 4/1/98 4/1/02 Stock 1,000 1,000 D
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</TABLE>
Explanation of Responses:
(1) Includes 145,378 shares owned jointly by reporting person and his spouse and
as to which they share voting and investment power.
(2) Granted pursuant to Issuer's 1995 Non-Employee Directors' Stock Option Plan.
(3) Option exercisable for the lesser of one (1) year from termination as a
director or five (5) years from date of grant.
(4) Cancellation of option in connection with grant of replacement option.
(5) The reported transaction involved the repricing of existing options which
were originally granted on April 1, 1997 and which provided for vesting on
April 1, 1998. The vesting terms were not amended at the time of repricing.
/s/ David Himick 2/14/00
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**Signature of Reporting Person Date
** 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 provided is insufficient, see Instruction 6 for procedure.
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