SEC Form 4 · accession 0001077183-18-000073
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M Van Oort
Officer — Chairman and CEO · Director
Period of report
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 4:27 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 | Aug 1, 2018 | A | 46,429 | $0.00 | A | 2,054,552 | D | |
| Common StockF2 | holding | — | — | — | 187,500 | I | Conundrum Capital Partners |
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 BuyF3 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 472,527 | 472,527 | D |
| Stock Option (Right to Buy)F4 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 500,000 | 500,000 | D |
| Stock Option (Right to Buy)F5 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1On August 1, 2018, Mr. VanOort was granted 46,429 shares of restricted stock. These shares vest ratably over the first three anniversary dates of the grant date.
- F2Conundrum Capital Partners, LLC is a limited liability partnership 50% owned by Mr. VanOort. Mr.VanOort is a managing partner of Conundrum Capital Partners, LLC.
- F3On April 20, 2016, Mr. VanOort was granted 472,527 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F4On April 28, 2017, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F5On February 26, 2018, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.