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NEOGENOMICS INC — Director's Dealing 2012
Jun 7, 2012
32227_dirs_2012-06-07_1f606bec-23f1-48ed-bdc2-019beeecb2cc.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: 2012-06-06
Reporting Person: JONES STEVEN C (Director, Executive VP of Finance, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-06 | Common Stock | A | 26251 | $1.5 | Acquired | 430055 | Direct |
| 2012-06-06 | Common Stock | A | 100000 | $1.5 | Acquired | 190000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 8038123 | Indirect |
| Common Stock | 129412 | Indirect |
| Common Stock | 50476 | Indirect |
| Common Stock | 34857 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant (Right to Buy) | $1.5 | 2017-05-03 | Common Stock (0) | 450000 | Direct |
| Warrant (Right to Buy) | $0.75 | 2014-02-09 | Common Stock (0) | 83333 | Indirect |
Footnotes
F1: Mr. Jones did a cashless net exercise of 250,000 warrants which resulted in him receiving 26,251 shares of common stock.
F2: Mr. Jones, the trustee of Steven and Carisa Jones Defined Benefit Plan exercised 100,000 warrants for $150,000 in cash which resulted in the Plan receiving 100,000 shares of common stock.
F3: 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.
F4: 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.
F5: 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.