SEC Form 4 · accession 0001077183-18-000095
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven G. Brodie
Officer — VP - Pharma Operations
Period of report
Oct 22, 2018
Accepted (ET)
Oct 24, 2018 · 6:36 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 | Oct 22, 2018 | M | 13,334 | $3.45 | A | 45,953 | 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) | $3.45 | Oct 22, 2018 | M | 13,334 | D | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 13,334 | 0 | D |
| Stock Option (Right to Buy)F1 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 50,000 | 50,000 | D |
| Stock Option (Right to Buy)F2 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F3 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy)F4 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 58,000 | 58,000 | D |
Explanation of responses
- F1On April 28, 2017, Dr. Brodie was granted 50,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.
- F2On April 20, 2016, Dr. Brodie was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F3On May 4, 2015 Dr, Brodie was granted 120,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.
- F4On February 26, 2018, Dr. Brodie was granted 58,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.