UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (right to buy) | 06/07/2007 | 06/07/2012 | 6/7/2012 | 350,000 | $ 1.5 | D | Â |
Warrant (right to buy) | 05/03/2010(3) | 05/03/2017 | Common Stock | 450,000 | $ 1.5 | D | Â |
Warrant (right to buy) | 02/09/2009 | 02/09/2014 | Common Stock | 83,333 | $ 0.75 | I | By Gulf Pointe Capital, LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JONES STEVEN C C/O NEOGENOMICS, INC. 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS, FL 33913 |
 X |  X |  Executive VP of Finance |  |
ASPEN SELECT HEALTHCARE LP ASPEN SELECT HEALTHCARE, L.P. C/O ASPEN CAPITAL GROUP, 1740 PERSIMMON DR. #100 NAPLES, FL 34109 |
 |  X |  |  |
/s/ Steven C. Jones | 05/02/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | 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. |
(2) | An investment partnership entity controlled by Steven Jones and Peter Peterson.. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein. |
(3) | Such warrants were issued in connection with a consulting agreement, dated 5/3/2010. 225,000 of such warrants were vested as of the date of the agreement for prior service. 112,500 of such warrants are subject to pro rata monthly vesting over a 24 month period beginning in May 2010 and ending in April 2012. 112,500 of such warrants are subject to performance vesting based on whether NeoGenomics meets certain financial performance goals over a two year vesting period. |
 Remarks: Steven Jones and Aspen Select Healthcare, LP are joint filers, as permitted under Rule 16(a)-3(j) of the Securities Exchange  Act of 1934, as amended. Exhibit List Exhibit 99 - Joint Filer Information |