4: Statement of changes in beneficial ownership of securities
Published on July 19, 2013
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KINDERHOOK, LP TWO EXECUTIVE DRIVE SUITE 585 FORT LEE, NJ 07024 |
See Remarks | |||
KINDERHOOK GP LLC TWO EXECUTIVE DRIVE SUITE 585 FORT LEE, NJ 07024 |
See Remarks | |||
KINDERHOOK PARTNERS, LLC TWO EXECUTIVE DRIVE SUITE 585 FORT LEE, NJ 07024 |
See Remarks | |||
Shah Tushar TWO EXECUTIVE DRIVE SUITE 585 FORT LEE, NJ 07024 |
See Remarks | |||
CLEARMAN STEPHEN J TWO EXECUTIVE DRIVE SUITE 585 FORT LEE, NJ 07024 |
See Remarks |
Signatures
/s/ Tushar Shah, Managing Member of Kinderhook, LP's General Partner | 07/19/2013 | |
**Signature of Reporting Person | Date | |
/s/ Tushar Shah, Managing Member of Kinderhook GP, LLC | 07/19/2013 | |
**Signature of Reporting Person | Date | |
/s/ Tushar Shah, Managing Member of Kinderhook Partners, LLC | 07/19/2013 | |
**Signature of Reporting Person | Date | |
/s/ Tushar Shah | 07/19/2013 | |
**Signature of Reporting Person | Date | |
/s/ Stephen J. Clearman | 07/19/2013 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Remarks: On May 13, 2013, Neogenomics, Inc. filed Form 10-Q for the quarter ending March 31, 2013, which reported that as of May 6, 2013, Neogenomics had 48,704,038 shares of Common Stock with a par value $0.001 per share outstanding. Based on Neogenomic's reported shares outstanding as of May 13, 2013, Kinderhook, LP; Kinderhook GP, LLC; Kinderhook Partners, LLC; Tushar Shah; and Stephen J. Clearman were no longer the beneficial owners, directly or indirectly, of more than ten percent of any class of Neogenomic's equity securities registered pursuant to Section 12 of the U.S. Securities Exchange Act of 1934. Mr. Tushar Shah; Mr. Stephen J. Clearman, Kinderhook Partners, LLC; Kinderhook GP, LLC; and Kinderhook, LP disclaim beneficial ownership of the shares of Neogenomics Common Stock except to the extent of his or its respective pecuniary interest, if any, therein. |