SEC Form 4 · accession 0001077183-18-000062
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J. Shovlin
Officer — President, Clinical Services
Period of report
Jun 29, 2018
Accepted (ET)
Jun 29, 2018 · 5:21 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 StockF1 | Jun 29, 2018 | S | 12,941 | $13.12 | D | 39,884 | 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 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F3 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 288,500 | 288,500 | D |
| Stock Option (Right to Buy)F4 | $4.79 | holding | — | — | — | Oct 13, 2015 | Oct 13, 2019 | Common Stock | 300,000 | 300,000 | D |
| Stock Option (Right to Buy)F5 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1Represents the average sales price.
- F2On April 28, 2017, Mr. Shovlin was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F3On February 26, 2018, Mr. Shovlin was granted 288,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F4On October 13, 2014, Mr. Shovlin was granted 300,000 stock options. The options have time based vesting. On the first anniversary of the option grant date 75,000 shares vest. Then beginning on the thirteenth (13th) month through the fourth anniversary of the option grant date 6,250 shares will vest on a monthly basis.
- F5On April 20, 2016, Mr. Shovlin was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.