SEC Form 4 · accession 0001077183-18-000019
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven A Ross
Officer — CIO
Period of report
May 10, 2018
Accepted (ET)
May 10, 2018 · 5:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001077183
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 10, 2018 | M | 33,667 | $4.78 | A | 38,167 | D | |
| Common Stock | May 10, 2018 | M | 26,666 | $7.15 | A | 64,833 | D | |
| Common Stock | May 10, 2018 | M | 21,666 | $7.52 | A | 86,499 | D | |
| Common Stock | May 10, 2018 | S | 81,999 | $10.78 | D | 4,500 | D | |
| Common Stock | holding | — | — | — | 4,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $4.78 | May 10, 2018 | X | 33,667 | D | May 6, 2016 | May 6, 2020 | Common Stock | 33,667 | 0 | D |
| Stock Option (Right to Buy)F1 | $7.15 | May 10, 2018 | X | 26,666 | D | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 26,666 | 13,334 | D |
| Stock Option (Right to Buy)F2 | $7.52 | May 10, 2018 | X | 21,666 | D | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 21,666 | 43,334 | D |
| Stock Option (Right to Buy)F3 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 72,500 | 72,500 | D |
Explanation of responses
- F1On April 20, 2016, Mr. Ross was granted 40,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. Mr. Ross exercised 26,666 of these options in May 2018, leaving a balance of 13,334 options.
- F2On April 28, 2017, Mr. Ross was granted 65,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. Mr. Ross exercised 21,666 of these options in May 2018, leaving a balance of 43,334 options.
- F3On February 26, 2018, Mr. Ross was granted 72,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.