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 | ||||
Stock Option (right to buy) | Â (1) | 03/31/2019 | Common Stock, par value $0.0001 per share | 100,000 | $ 4 | D | Â |
Stock Option (right to buy) | Â (2) | 09/14/2020 | Common Stock, par value $0.0001 per share | 36,000 | $ (2) | D | Â |
Convertible Note | Â (3) | Â (3) | Common Stock, par value $0.0001 per share | (3) | $ (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Chaganti Raju S.K. 201 ROUTE 17 NORTH 2ND FLOOR RUTHERFORD, NJ 07070 |
 X |  |  |  |
/s/ Raju S.K. Chaganti | 04/04/2013 | |
**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) | This option was fully vested and exercisable on April 1, 2009. |
(2) | This option is currently vested and exercisable as to 30,000 shares. The remaining shares will vest and become exercisable in equal quarterly installments. The exercise price will be equal to the initial public offering price. |
(3) | The reporting person agreed to convert $100,000 of the outstanding principal balance under the note plus all accrued and unpaid interest thereon into shares of common stock of Cancer Genetics, Inc. (the "Company") upon consummation of the Company's initial public offering at a conversion price equal to the initial public offering price. |