0001209191-16-141827.txt : 20160916 0001209191-16-141827.hdr.sgml : 20160916 20160916171107 ACCESSION NUMBER: 0001209191-16-141827 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160914 FILED AS OF DATE: 20160916 DATE AS OF CHANGE: 20160916 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEOGENOMICS INC CENTRAL INDEX KEY: 0001077183 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-TESTING LABORATORIES [8734] IRS NUMBER: 742897368 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12701 COMMONWEALTH DRIVE STREET 2: SUITE 9 CITY: FORT MYERS STATE: FL ZIP: 33913 BUSINESS PHONE: 9419231949 MAIL ADDRESS: STREET 1: 12701 COMMONWEALTH DRIVE STREET 2: SUITE 9 CITY: FORT MYERS STATE: FL ZIP: 33913 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN COMMUNICATIONS ENTERPRISES INC DATE OF NAME CHANGE: 19990120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JONES STEVEN C CENTRAL INDEX KEY: 0001518732 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35756 FILM NUMBER: 161890050 MAIL ADDRESS: STREET 1: 12701 COMMONWEALTH DRIVE STREET 2: SUITE 9 CITY: FORT MYERS STATE: FL ZIP: 33913 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-09-14 0 0001077183 NEOGENOMICS INC NEO 0001518732 JONES STEVEN C 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS FL 33913 0 1 0 0 Executive VP of Finance Common Stock 3150000 I By Aspen Select Healthcare LP Common Stock 266251 D Common Stock 50476 I By Jones Network, LP Common Stock 52157 I Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones Common Stock 190000 I By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust Stock Option (Right to Buy) 4.78 2016-05-04 2020-05-04 Common Stock 225000 225000 D Stock Option (Right to Buy) 7.15 2017-04-20 2021-04-20 Common Stock 100000 100000 D Warrants 1.50 2016-09-14 4 S 0 225000 1.50 D 2010-05-03 2017-05-03 Common Stock 225000 0 D Warrants 1.50 2016-09-14 4 S 0 112500 1.50 D 2010-05-03 2017-05-03 Common Stock 112500 0 D Warrants 1.50 2016-09-14 4 S 0 112500 1.50 D 2010-05-03 2017-05-03 Common Stock 112500 0 D Aspen Select Healthcare, LP is a private investment fund. Medical Venture 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. 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. On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. Warrants were sold to an unaffiliated third party and remain subject to exercise. Such warrants were issued in connection with a consulting agreement, dated 5/3/2010. /s/ Steven Jones 2016-09-16