SEC Form 4 · accession 0001077183-18-000030
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Cardoza
Officer — President, Pharma Services
Period of report
May 25, 2018
Accepted (ET)
May 29, 2018 · 6:57 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 | 8,333 | $0.00 | A | 197,422 | D | |
| Common Stock | holding | — | — | — | 20,000 | I | Trust by Self |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF1,F2,F3 | $0.00 | May 25, 2018 | M | 8,333 | D | May 25, 2018 | — | Common Stock | 8,333 | 16,667 | D |
| Stock Option (Right to Buy)F4 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F5 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F6 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F7 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 200,000 | 200,000 | D |
| Stock Options (Right to Buy)F8 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 192,500 | 192,500 | D |
Explanation of responses
- F1Each share of restricted stock represents the contingent right to receive one share of common stock upon vesting.
- F2Restricted stock will vest as follows; 8,333 shares vested on May 25, 2018, 8,333 shares will vest on May 25, 2019 and 8,334 shares will vest on May 25, 2020.
- F3These restricted shares will terminate upon the earliest of death, termination of employment or the last vesting date.
- F4On April 20, 2016, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F5On March 5, 2014 Mr. Cardoza was granted an option to purchase 30,000 shares. These options vest ratably over the first three anniversary dates of the grant.
- F6On May 4, 2015 Mr. Cardoza was granted an option to purchase 200,000 shares. These options vest ratably over the first three anniversary dates of the grant.
- F7On April 28, 2017, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.
- F8On February 26, 2018, Mr. Cardoza was granted 192,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.