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NEOGENOMICS INC — Director's Dealing 2015
May 6, 2015
32227_dirs_2015-05-06_9fc8a86d-b9a9-4b45-95c5-fd5f4de82a66.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: 2015-05-04
Reporting Person: JONES STEVEN C (Executive VP of Finance)
Reporting Person: ASPEN SELECT HEALTHCARE LP (Executive VP of Finance)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-01 | Common Stock | G | 2700 | $3.98 | Disposed | 32157 | Indirect |
| 2013-12-24 | Common Stock | G | 15364 | $3.6 | Disposed | 331251 | Direct |
| 2014-12-23 | Common Stock | G | 20000 | $4.13 | Disposed | 311251 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-05-04 | Stock Option (Right to Buy) | $4.78 | A | 225000 | Acquired | 2020-05-04 | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 212745 | Indirect |
| Common Stock | 3500000 | Indirect |
| Common Stock | 50476 | Indirect |
| Common Stock | 190000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants (Right to Buy) | $1.5 | 2017-05-03 | Common Stock (0) | 450000 | Direct |
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 or such shares except to his pecuniary interests therein.
F3: Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
F4: 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.