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NEOGENOMICS INC — Director's Dealing 2011
May 2, 2011
32227_dirs_2011-05-02_36336023-9896-4d2a-b65c-c40aa1bf467e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: NEOGENOMICS INC (NGNM.OB)
CIK: 0001077183
Period of Report: 2011-05-02
Reporting Person: PETERSON PETER M (Director, 10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 8038123 | Indirect |
| Common Stock | 129427 | Indirect |
| Common Stock | 24000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant (Right to Buy) | $1.5 | 2012-06-07 | Common Stock (100000) | Direct | |
| Warrant (Right to Buy) | $0.75 | 2014-02-09 | Common Stock (83333) | Indirect |
Footnotes
F1: Aspen Select Healthcare, LP is a private investment fund. Medical Venture Partners, LLC is the sole general partner of Aspen Select Healthcare, LP, and Mr. Peterson is a Managing Member of Medical Venture Partners, LLC. Mr. Peterson disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
F2: An investment entity controlled by Peter Peterson. Mr. Peterson disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
F3: On April 27, 2011 the Board of Directors approved and granted a restricted stock award of 24,000 shares of NeoGenomics common stock. The terms of the award call for 2,000 shares to vest on the last day of the next 12 quarters starting on June 30, 2011 as long as Mr. Peterson remains a Director of the Company.