SEC Form 4 · accession 0001349929-15-000058
CANCER GENETICS, INC · CGIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Pappajohn
Director · 10% Owner
Period of report
Nov 12, 2015
Accepted (ET)
Nov 16, 2015 · 8:26 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001349929
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per shareF1,F2 | Nov 12, 2015 | P$0 | 100,000 | — | A | 1,621,789 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1,F2 | $5.00 | Nov 12, 2015 | P | 100,000 | A | Nov 12, 2015 | Nov 12, 2020 | Common Stock, par value $0.0001 per share | 100,000 | 100,000 | D |
Explanation of responses
- F1The reported securities were purchased in an underwritten public offering which closed on November 12, 2015. The reported securities were issued pursuant to a prospectus supplement in connection with a takedown from the Company's shelf registration statement on Form S-3 (File No. 333-196374), filed with the SEC and effective on June 5, 2014.
- F2The reported securities consist of one share of common stock, par value $0.0001 per share (the "Common Stock") and an accompanying warrant to purchase one share of Common Stock for $4.00 per share and warrant.