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NEOGENOMICS INC — Director's Dealing 2012
May 21, 2012
32227_dirs_2012-05-21_7fbba50c-9f68-4e8b-9eee-365947544a4e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NEOGENOMICS INC (NGNM)
CIK: 0001077183
Period of Report: 2012-05-15
Reporting Person: KINDERHOOK PARTNERS, LP (10% Owner)
Reporting Person: KINDERHOOK GP LLC (10% Owner)
Reporting Person: KINDERHOOK CAPITAL MANAGEMENT, LLC (10% Owner)
Reporting Person: Shah Tushar (10% Owner)
Reporting Person: CLEARMAN STEPHEN J (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-15 | Common Stock, par value $0.001 | P | 175000 | $1.7000 | Acquired | 4664297 | Direct |
| 2012-05-17 | Common Stock, par value $0.001 | P | 100000 | $1.6998 | Acquired | 4764297 | Direct |
Footnotes
F1: Mr. Tushar Shah and Mr. Stephen J. Clearman are the co-managing members of Kinderhook GP, LLC (the "General Partner"), which is responsible for making investment decisions with respect to Kinderhook Partners, LP (the "Partnership") as its general partner. In addition, Mr. Shah and Mr. Clearman are the co-managing members of Kinderhook Capital Management, LLC (the "Investment Adviser"), which serves as the Partnership's investment adviser, and they are responsible for making investment recommendations on behalf of the Investment Adviser. As a result, Mr. Shah and Mr. Clearman may be deemed to control the Partnership, the General Partner, and the Investment Adviser, and may be deemed to have a beneficial interest in the shares of Common Stock by virtue of their indirect control of the Partnership's, the General Partner's, and the Investment Adviser's power to vote and/or dispose of the shares of Common Stock.
F2: Mr. Shah and Mr. Clearman disclaim beneficial ownership of the shares of Common Stock except to the extent of his respective pecuniary interest, if any, therein. Kinderhook Capital Management, LLC and Kinderhook GP, LLC specifically disclaim beneficial ownership in the shares of Common Stock reported herein except to the extent of its pecuniary interest therein, if any.