Initial Statement of Beneficial Ownership (3)
September 21 2017 - 5:26PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Richard Gregory
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2. Date of Event Requiring Statement (MM/DD/YYYY)
9/14/2017
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3. Issuer Name
and
Ticker or Trading Symbol
Interpace Diagnostics Group, Inc. [IDXG]
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(Last)
(First)
(Middle)
C/O INTERPACE DIAGNOSTICS GROUP, INC., 300 INTERPACE PARKWAY
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Commercial Officer /
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(Street)
PARSIPPANY, NJ 07054
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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(1)
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10/14/2026
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Common Stock
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12257
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$1.60
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D
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Stock Option (right to buy)
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(2)
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3/16/2027
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Common Stock
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17134
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$2.12
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D
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Stock Appreciation Right
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(3)
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4/2/2019
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Common Stock
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3742
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$45.70
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D
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Restricted Stock Units
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(4)
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(4)
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Common Stock
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4000
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$0
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D
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Stock Option (right to buy)
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(5)
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5/11/2027
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Common Stock
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50269
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$2.39
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D
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Explanation of Responses:
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(1)
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The reporting person was awarded 12,257 stock options, of which 11,236 options are currently exercisable and the remaining will vest on October 14, 2017.
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(2)
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The reporting person was awarded 17,134 stock options, of which 8,566 options are currently exercisable and the remaining will vest ratably over the next six months.
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(3)
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The reporting person was awarded 3,742 stock appreciation rights, of which all are immediately exercisable.
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(4)
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The reporting person was awarded 4,000 restricted stock units, of which half will vest on February 26, 2018 and the remaining half on February 26, 2019. Upon vesting, the reporting person will receive a number of shares of common stock of Issuer equal to the number of restricted stock units vested.
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(5)
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The reporting person was awarded 50,269 stock options, of which 16,756 options are currently exercisable and the remaining will vest ratably over the next eight months.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Richard Gregory
C/O INTERPACE DIAGNOSTICS GROUP, INC.
300 INTERPACE PARKWAY
PARSIPPANY, NJ 07054
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Chief Commercial Officer
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Signatures
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/s/ Gregory Richard
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9/21/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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