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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (right to buy)
|
Â
(1)
|
06/11/2019 |
Common Stock, par value $0.0001 per share
|
15,000
|
$
4
|
D
|
Â
|
Warrant (right to buy)
|
07/02/2009 |
07/02/2014 |
Common Stock, par value $0.0001 per share
|
44,288
|
$
4
|
D
|
Â
|
Warrant (right to buy)
|
10/19/2009 |
10/19/2014 |
Common Stock, par value $0.0001 per share
|
140,000
(2)
|
$
25
(2)
|
D
|
Â
|
Warrant (right to buy)
|
12/09/2010 |
12/09/2015 |
Common Stock, par value $0.0001 per share
|
72,000
(2)
|
$
25
(2)
|
D
|
Â
|
Warrant (right to buy)
|
06/30/2011 |
06/30/2016 |
Common Stock, par value $0.0001 per share
|
40,000
(2)
|
$
32.45
(2)
|
D
|
Â
|
Warrant (right to buy)
|
12/22/2011 |
12/21/2016 |
Common Stock, par value $0.0001 per share
|
42,353
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
02/14/2012 |
12/21/2016 |
Common Stock, par value $0.0001 per share
|
14,118
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
03/09/2012 |
12/21/2016 |
Common Stock, par value $0.0001 per share
|
37,000
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
04/01/2012 |
12/21/2016 |
Common Stock, par value $0.0001 per share
|
7,059
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
05/15/2012 |
12/21/2016 |
Common Stock, par value $0.0001 per share
|
2,353
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
07/01/2012 |
12/21/2016 |
Common Stock, par value $0.0001 per share
|
7,059
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
08/14/2012 |
12/21/2016 |
Common Stock, par value $0.0001 per share
|
2,353
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
10/17/2012 |
10/17/2022 |
Common Stock, par value $0.0001 per share
|
63,137
(2)
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
10/22/2012 |
11/26/2017 |
Common Stock, par value $0.0001 per share
|
20,669
(2)
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
10/22/2012 |
11/26/2017 |
Common Stock, par value $0.0001 per share
|
10,157
(2)
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
10/22/2012 |
11/26/2017 |
Common Stock, par value $0.0001 per share
|
28,236
(2)
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
10/22/2012 |
11/26/2017 |
Common Stock, par value $0.0001 per share
|
9,412
(2)
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
11/27/2012 |
10/17/2022 |
Common Stock, par value $0.0001 per share
|
4,118
(2)
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
12/07/2012 |
12/07/2022 |
Common Stock, par value $0.0001 per share
|
23,530
(2)
|
$
42.5
(2)
|
D
|
Â
|
Series A-1 Convertible Preferred Stock
|
01/08/2008 |
Â
(3)
|
Series A-1 Convertible Preferred Stock, par value $0.0001
|
377,789
|
$
14.1
(3)
|
D
|
Â
|
Convertible Note
|
Â
(4)
|
Â
(4)
|
Common Stock, par value $0.0001 per share
|
(4)
|
$
(4)
|
D
|
Â
|
Convertible Note
|
Â
(5)
|
Â
(5)
|
Common Stock, par value $0.0001 per share
|
(5)
|
$
(5)
|
D
|
Â
|
Convertible Note
|
Â
(6)
|
Â
(6)
|
Common Stock, par value $0.0001 per share
|
(6)
|
$
(6)
|
D
|
Â
|
Convertible Note
|
Â
(7)
|
Â
(7)
|
Common Stock, par value $0.0001 per share
|
(7)
|
$
(7)
|
D
|
Â
|
Warrant (right to buy)
|
02/22/2013 |
02/22/2023 |
Common Stock, par value $0.0001 per share
|
4,118
(2)
|
$
42.5
(2)
|
D
|
Â
|
Warrant (right to buy)
|
03/04/2013 |
03/04/2023 |
Common Stock, par value $0.0001 per share
|
2,353
(2)
|
$
42.5
(2)
|
D
|
Â
|
* |
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) |
This option was fully vested and exercisable as of June 11, 2011. |
(2) |
The number of shares underlying the warrant and the exercise price are subject to anti-dilution adjustment. |
(3) |
If Cancer Genetics, Inc. (the "Company") consummates an initial public offering, each outstanding share of Series A-1 Convertible Preferred Stock will automatically convert into one-fifth (1/5) of one share of the Company's common stock. The conversion price of the Series A-1 Convertible Preferred Stock is subject to anti-dilution adjustment. Shares of Series A-1 Convertible Preferred Stock have no expiration date. |
(4) |
The reporting person agreed to convert $2,000,000 of the outstanding principal balance under the note to common stock of the Company upon consummation of the Company's initial public offering at a conversion price equal to the initial public offering price. |
(5) |
Approximately $1,800,000 outstanding under a loan provided to the Company by the reporting person automatically converts to common stock of the Company upon consummation of the Company's initial public offering at a conversion price equal to the lesser of (i) $42.50 per share and (ii) the initial public offering price. |
(6) |
Approximately $1,000,000 outstanding under a loan provided to the Company by the reporting person automatically converts to common stock of the Company upon consummation of the Company's initial public offering at a conversion price equal to the lesser of (i) $42.50 per share and (ii) the initial public offering price. |
(7) |
The reporting person agreed to convert $2,000,000 of the outstanding principal balance under the note to common stock of the Company upon consummation of the Company's initial public offering at a conversion price equal to the initial public offering. |