SEC Form 4 · accession 0001349929-16-000089
CANCER GENETICS, INC · CGIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John Pappajohn
Director · 10% Owner
Period of report
May 25, 2016
Accepted (ET)
May 26, 2016 · 5:19 pm EDT
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 | May 25, 2016 | P$0 | 317,820 | — | A | 2,099,609 | 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 | $2.25 | May 25, 2016 | P | 158,910 | A | Nov 25, 2016 | Nov 25, 2021 | Common Stock, par value $0.0001 per share | 158,910 | 158,910 | D |
Explanation of responses
- F1The reported securities were purchased in a registered direct offering and a concurrent private placement, both of which closed on May 25, 2016.
- F2The reported securities consist of one share of common stock, par value $0.0001 per share (the "Common Stock") and a warrant to purchase one-half of a share of Common Stock. The purchase price for the reported securities was $2.2025 per share and warrant.