SEC Form 3 · accession 0001349929-17-000071

CANCER GENETICS, INC · CGIX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President, Discovery Services

Period of report

Aug 15, 2017

Accepted (ET)

Aug 24, 2017 · 4:23 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 share^F1	holding	—	—		—	30,000	D
Common Stock, par value $0.0001 per share^F2	holding	—	—		—	1,337,351	I	Owned through Brandt Family Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F3	$3.10	holding	—	—	—	Oct 1, 2017	Aug 15, 2027	Common Stock, par value $0.0001 per share	100,000	—	D

F1The restricted stock 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 granted shall vest in three equal annual installments commencing on October 1, 2017.
F2Dr. Brandt disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership by Dr. Brandt of the reported securities for the purposes of Section 16 or any other purpose.
F3The option award was made in accordance with the terms of the 2011 Plan. The shares underlying the options shall become vested and exercisable in eight quarterly installments, commencing on October 1, 2017, 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.

Exhibit 24 - Power of Attorney