SEC Form 4 · accession 0001077183-18-000035
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 29, 2018
Accepted (ET)
May 31, 2018 · 5:50 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 29, 2018 | M | 65,000 | $4.78 | A | 78,322 | D | |
| Common StockF1 | May 29, 2018 | S | 30,000 | $11.62 | D | 48,322 | D | |
| Common StockF1 | May 29, 2018 | S | 35,000 | $11.70 | D | 13,322 | 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)F2 | $4.78 | May 29, 2018 | M | 65,000 | D | May 4, 2016 | May 4, 2020 | Common Stock | 65,000 | 35,000 | D |
| Stock Option (Right to Buy)F3 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 50,000 | 50,000 | D |
| Stock Option (Right to Buy)F4 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (Right to Buy)F5 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 72,500 | 72,500 | D |
Explanation of responses
- F1Average price of shares sold
- F2On 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.
- F3On 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.
- F4On April 28, 2017, Jennifer Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversaries of the grant date.
- F5On February 26, 2018, Jennifer Balliet was granted 72,500 stock options which vested ratably over the first three anniversary dates of the grant date.