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NEOGENOMICS INC — Director's Dealing 2015
Nov 27, 2015
32227_dirs_2015-11-27_d3ed1743-4859-4df2-aef6-f358c7f03bb1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NEOGENOMICS INC (NEO)
CIK: 0001077183
Period of Report: 2015-11-25
Reporting Person: JONES STEVEN C (Executive VP of Finance)
Reporting Person: ASPEN SELECT HEALTHCARE LP (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-11-25 | Common Stock | S | 212745 | $8.095 | Disposed | 0 | Indirect |
| 2015-11-25 | Common Stock | S | 137255 | $8.095 | Disposed | 3362745 | Indirect |
| 2015-11-27 | Common Stock | S | 35000 | $8.059 | Disposed | 3327745 | Indirect |
| 2015-11-27 | Common Stock | G | 25000 | $8.05 | Disposed | 286251 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 50476 | Indirect |
| Common Stock | 32157 | Indirect |
| Common Stock | 190000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants (Right to Buy) | $1.50 | 2017-05-03 | Common Stock (0) | 450000 | Direct |
| Stock Option (Right to Buy) | $4.78 | 2020-05-04 | Common Stock (0) | 225000 | Direct |
Footnotes
F1: An investment partnership entity controlled by Steven Jones. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his pecuniary interests therein.
F2: 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.
F3: Closing stock price on November 25, 2015
F4: Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
F5: On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.