Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

NEOGENOMICS INC Director's Dealing 2011

May 2, 2011

32227_dirs_2011-05-02_6c24838f-be50-4a1b-bfb1-b8cae4c0467d.zip

Director's Dealing

Open in viewer

Opens in your device viewer

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.