Filing Details
- Accession Number:
- 0001181431-13-022092
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-04-12 16:16:17
- Reporting Period:
- 2013-04-10
- Filing Date:
- 2013-04-12
- Accepted Time:
- 2013-04-12 16:16:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1349929 | Cancer Genetics Inc | CGIX | Services-Medical Laboratories (8071) | 043462475 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 897464 | John Pappajohn | 201 Route 17 North 2Nd Floor Rutherford NJ 07070 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2013-04-10 | 175,000 | $0.00 | 682,546 | No | 4 | P | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2013-04-10 | 100,000 | $0.00 | 782,546 | No | 4 | P | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2013-04-10 | 200,000 | $0.00 | 982,546 | No | 4 | P | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2013-04-10 | 200,000 | $0.00 | 1,182,546 | No | 4 | P | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2013-04-10 | 80,686 | $0.00 | 1,263,232 | No | 4 | C | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | C | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Convertible Note | Disposition | 2013-04-10 | 0 | $0.00 | 175,000 | $10.00 |
| Common Stock | Convertible Note | Disposition | 2013-04-10 | 0 | $0.00 | 100,000 | $10.00 |
| Common Stock | Convertible Note | Disposition | 2013-04-10 | 0 | $0.00 | 200,000 | $10.00 |
| Common Stock | Convertible Note | Disposition | 2013-04-10 | 0 | $0.00 | 200,000 | $10.00 |
| Common Stock | Series A-1 Convertible Preferred Stock | Disposition | 2013-04-10 | 377,789 | $0.00 | 80,686 | $13.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- The convertible note converted into shares of common stock of Cancer Genetics, Inc. (the "Company") upon consummation of the Company's initial public offering at a conversion price per share equal to the lesser of (i) $42.50 per share and (ii) the initial public offering price per share. The convertible note had no expiration date.
- The convertible note converted into shares of common stock of the Company upon consummation of the Company's initial public offering at a price per share equal to the initial public offering price per share. The convertible note had no expiration date.
- The shares of Series A-1 Convertible Preferred Stock automatically converted into 0.2136 share of common stock of the Company upon consummation of the Company's initial public offering. The shares of Series A-1 Convertible Preferred Stock had no expiration date.
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