SEC Form 4 · accession 0001077183-18-000028
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Balliet
Officer — VP and Chief Culture Officer
Period of report
May 25, 2018
Accepted (ET)
May 29, 2018 · 6:51 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 25, 2018 | M | 6,666 | $0.00 | A | 6,666 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF4,F5,F6 | $0.00 | May 25, 2018 | M | 6,666 | D | May 25, 2018 | — | Common Stock | 6,666 | 13,334 | D |
| Stock Option (Right to Buy)F1 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F2 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 50,000 | 50,000 | D |
| Stock Option (Right to Buy)F3 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (Right to Buy)F7 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 72,500 | 72,500 | D |
Explanation of responses
- F1On May 4, 2015, Jennifer Balliet was granted 120,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F2On April 20, 2016, Jennifer Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F3On April 28, 2017, Jennifer Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversaries of the grant date.
- F4Each share of restricted stock represents the contingent right to receive one share of common stock upon vesting.
- F5Restricted stock will vest as follows; 6,666 units vested on May 25, 2018 and 6,667 units will vest on May 25, 2019 and 2020.
- F6These restricted stock will terminate upon the earliest of death, termination of employment or the last vesting date.
- F7On February 26, 2018, Jennifer Balliet was granted 72,500 stock options which vested ratably over the first three anniversary dates of the grant date.