Filing Details
- Accession Number:
- 0001209191-15-082343
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-27 15:04:22
- Reporting Period:
- 2015-11-25
- Filing Date:
- 2015-11-27
- Accepted Time:
- 2015-11-27 15:04:22
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1077183 | Neogenomics Inc | NEO | Services-Testing Laboratories (8734) | 742897368 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1518732 | C Steven Jones | 12701 Commonwealth Drive Suite 9 Fort Myers FL 33913 | Executive Vp Of Finance | No | Yes | No | No |
1519599 | Aspen Select Healthcare Lp | 1740 Persimmon Drive Naples FL 33913 | No | No | Yes | 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 | Disposition | 2015-11-25 | 212,745 | $8.10 | 0 | No | 4 | S | Indirect | By Aspen Opportunity Fund, LP |
Common Stock | Disposition | 2015-11-25 | 137,255 | $8.10 | 3,362,745 | No | 4 | S | Indirect | By Aspen Select Healthcare, LP |
Common Stock | Disposition | 2015-11-27 | 35,000 | $8.06 | 3,327,745 | No | 4 | S | Indirect | By Aspen Select Healthcare, LP |
Common Stock | Disposition | 2015-11-27 | 25,000 | $8.05 | 286,251 | No | 4 | G | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By Aspen Opportunity Fund, LP |
No | 4 | S | Indirect | By Aspen Select Healthcare, LP |
No | 4 | S | Indirect | By Aspen Select Healthcare, LP |
No | 4 | G | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 50,476 | Indirect | By Jones Network, LP |
Common Stock | 32,157 | Indirect | Shares owned in IRA and custodian accounts for the immediate family of Steven Jones |
Common Stock | 190,000 | Indirect | By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Warrants (Right to Buy) | $1.50 | 2010-05-03 | 2017-05-03 | 0 | 450,000 | Direct |
Common Stock | Stock Option (Right to Buy) | $4.78 | 2016-05-04 | 2020-05-04 | 0 | 225,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-05-03 | 0 | 450,000 | Direct |
2020-05-04 | 0 | 225,000 | Direct |
Footnotes
- An investment partnership entity controlled by Steven Jones. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his pecuniary interests therein.
- Aspen Select Healthcare, LP is a private investment fund. MedicalVenture Partners, LLC is the sole general partner of Aspen Select Healthcare, LP, and Mr. Jones is a Managing Member of Medical Venture Partners, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
- Closing stock price on November 25, 2015
- Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
- On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.