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
  1. 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.
  2. 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.
  3. Closing stock price on November 25, 2015
  4. Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
  5. 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.