SEC Form 4 · accession 0001144204-15-027991
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Steven C Jones
Officer — Executive VP of Finance
ASPEN SELECT HEALTHCARE LP
Officer — Executive VP of Finance
Period of report
May 4, 2015
Accepted (ET)
May 6, 2015 · 4:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001077183
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 1, 2013 | G | 2,700 | $3.98 | D | 32,157 | I | Shares owned in IRA and custodian accounts for the immediate family of Steven Jones |
| Common Stock | Dec 24, 2013 | G | 15,364 | $3.60 | D | 331,251 | D | |
| Common Stock | Dec 23, 2014 | G | 20,000 | $4.13 | D | 311,251 | D | |
| Common StockF2 | holding | — | — | — | 212,745 | I | By Aspen Opportunity Fund | |
| Common StockF1 | holding | — | — | — | 3,500,000 | I | By Aspen Select Healthcare, LP | |
| Common Stock | holding | — | — | — | 50,476 | I | By Jones Network, LP | |
| Common Stock | holding | — | — | — | 190,000 | I | By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $4.78 | May 4, 2015 | A | 225,000 | A | May 4, 2016 | May 4, 2020 | Common Stock | 0 | 225,000 | D |
| Warrants (Right to Buy)F3 | $1.50 | holding | — | — | — | May 3, 2010 | May 3, 2017 | Common Stock | 0 | 450,000 | D |
Explanation of responses
- F1Aspen 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.
- F2An investment partnership entity controlled by Steven Jones. Mr. Jones disclaims beneficial ownership or such shares except to his pecuniary interests therein.
- F3Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
- F4On 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.