SEC Form 4 · accession 0001611395-15-000002
CANCER GENETICS, INC · CGIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geoffrey E. Harris
Director
Period of report
May 14, 2015
Accepted (ET)
May 18, 2015 · 9:29 am 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 StockF1 | May 14, 2015 | P | 5,000 | $10.7898 | A | 5,000 | D | |
| Common StockF2 | May 14, 2015 | A | 5,000 | $0.00 | A | 10,000 | D |
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)F3 | $10.74 | May 14, 2015 | A | 10,000 | A | May 14, 2016 | May 14, 2025 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.74 to $10.80, inclusive. The reporting person undertakes to provide Cancer Genetics, Inc., any security holder of Cancer Genetics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.
- F2The restricted stock underlying the award vests in two equal installments on May 14, 2016 and May 14, 2017, respectively.
- F3The option vests in two equal installments on May 14, 2016 and May 14, 2017, respectively.