SEC Form 4 · accession 0001209191-15-082343
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 25, 2015
Accepted (ET)
Nov 27, 2015 · 3:04 pm EST
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 StockF1 | Nov 25, 2015 | S | 212,745 | $8.095 | D | 0 | I | By Aspen Opportunity Fund, LP |
| Common StockF2 | Nov 25, 2015 | S | 137,255 | $8.095 | D | 3,362,745 | I | By Aspen Select Healthcare, LP |
| Common StockF2 | Nov 27, 2015 | S | 35,000 | $8.059 | D | 3,327,745 | I | By Aspen Select Healthcare, LP |
| Common StockF3 | Nov 27, 2015 | G | 25,000 | $8.05 | D | 286,251 | D | |
| Common Stock | holding | — | — | — | 50,476 | I | By Jones Network, LP | |
| Common Stock | holding | — | — | — | 32,157 | I | Shares owned in IRA and custodian accounts for the immediate family of Steven Jones | |
| 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy)F4 | $1.50 | holding | — | — | — | May 3, 2010 | May 3, 2017 | Common Stock | 0 | 450,000 | D |
| Stock Option (Right to Buy)F5 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 0 | 225,000 | D |
Explanation of responses
- F1An investment partnership entity controlled by Steven Jones. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his pecuniary interests therein.
- F2Aspen 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.
- F3Closing stock price on November 25, 2015
- F4Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
- F5On 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.