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NEOGENOMICS INC — Director's Dealing 2011
May 2, 2011
32227_dirs_2011-05-02_6c24838f-be50-4a1b-bfb1-b8cae4c0467d.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: NEOGENOMICS INC (NGNM)
CIK: 0001077183
Period of Report: 2011-05-02
Reporting Person: JONES STEVEN C (Director, Executive VP of Finance, 10% Owner)
Reporting Person: ASPEN SELECT HEALTHCARE LP (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 403804 | Direct |
| Common Stock | 8038123 | Indirect |
| Common Stock | 129412 | Indirect |
| Common Stock | 90000 | Indirect |
| Common Stock | 50476 | Indirect |
| Common Stock | 32157 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant (right to buy) | $1.50 | 2012-06-07 | 6/7/2012 (350000) | Direct | |
| Warrant (right to buy) | $1.50 | 2017-05-03 | Common Stock (450000) | 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. Jones is a Managing Member of Medical Venture Partners, LLC. Mr. Jones disclaims beneficial
ownership of such shares except to the extent of his respective pecuniary interests therein.
F2: An investment partnership entity controlled by Steven Jones and Peter Peterson.. Mr. Jones disclaims beneficial ownership
of such shares except to the extent of his respective pecuniary interests therein.
F3: Such warrants were issued in connection with a consulting agreement, dated 5/3/2010. 225,000 of such warrants were vested as
of the date of the agreement for prior service. 112,500 of such warrants are subject to pro rata monthly vesting over a 24
month period beginning in May 2010 and ending in April 2012. 112,500 of such warrants are subject to performance vesting
based on whether NeoGenomics meets certain financial performance goals over a two year vesting period.