AI assistant
NEOGENOMICS INC — Director's Dealing 2012
Dec 20, 2012
32227_dirs_2012-12-20_47055c28-c880-4d23-bc4d-95fa1ddc4dff.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NEOGENOMICS INC (NGNM.OB)
CIK: 0001077183
Period of Report: 2012-12-18
Reporting Person: JONES STEVEN C (Director, Executive VP of Finance, 10% Owner)
Reporting Person: ASPEN SELECT HEALTHCARE LP (Director, Executive VP of Finance, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-18 | Common Stock | S | 632114 | $2.75 | Disposed | 7376009 | Indirect |
| 2012-12-19 | Common Stock | S | 8225 | $2.75 | Disposed | 7367784 | Indirect |
| 2012-12-20 | Common Stock | S | 1100 | $2.75 | Disposed | 7366684 | Indirect |
| 2012-12-20 | Common Stock | J | 3653715 | $2.75 | Disposed | 3712969 | Indirect |
| 2012-12-20 | Common Stock | G | 22640 | $2.75 | Disposed | 346615 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 50476 | Indirect |
| Common Stock | 34857 | Indirect |
| Common Stock | 190000 | Indirect |
| Common Stock | 129412 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants (Right to Buy) | $1.5 | 2017-05-03 | Common Stock (0) | 450000 | Direct |
| Warrants (Right to Buy) | $0.75 | 2014-02-09 | Common Stock (0) | 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. 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.
F4: This was a distribution of shares to certain limited partners of Aspen Select Healthcare, LP in conjunction with the final distribution of their limited partnership interests.