SEC Form 4 · accession 0000905718-18-000478
CANCER GENETICS, INC · CGIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ralf Brandt
Officer — President, Discovery Services
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 4:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001349929
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $0.89 | May 10, 2018 | A | 150,000 | A | — | May 10, 2028 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1The option award was made in accordance with the terms of the Amended and Restated Cancer Genetics, Inc. 2011 Equity Incentive Plan (the "2011 Plan"). The shares underlying the options shall become vested and exercisable with respect to twenty percent (20%) of the shares on the one-year anniversary of the date of grant and with respect to the remaining eighty percent (80%) of the shares in equal monthly installments on the 10th day of each of the forty-eight (48) calendar months thereafter, provided that the optionee remains a services provider to the Company through each applicable vesting period. The exercise price is the closing price of a share of Common Stock as of the date of grant on the NASDAQ Capital Market in accordance with the terms of the 2011 Plan.