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NEOGENOMICS INC — Director's Dealing 2012
Jun 22, 2012
32227_dirs_2012-06-22_d2772177-0da5-4359-83ec-e8e875be9dcd.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NEOGENOMICS INC (NGNM.OB)
CIK: 0001077183
Period of Report: 2012-06-20
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 |
|---|---|---|---|---|---|---|---|
| 2012-06-20 | Common Stock | D | 30000 | $1.7 | Disposed | 8008123 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 430055 | Direct |
| Common Stock | 190000 | Indirect |
| Common Stock | 129412 | Indirect |
| Common Stock | 50476 | Indirect |
| Common Stock | 34857 | 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 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. As of the date of this Form 4 all of such warrants were vested.