SEC Form 4 · accession 0001077183-18-000115
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
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 8:46 pm EST
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 | Nov 9, 2018 | M | 35,000 | $4.78 | A | 55,000 | D | |
| Common Stock | Nov 9, 2018 | M | 33,333 | $0.00 | A | 88,333 | D | |
| Common Stock | Nov 9, 2018 | S | 39,828 | $17.00 | D | 48,505 | D | |
| Common Stock | Nov 12, 2018 | S | 28,505 | $16.73 | D | 20,000 | 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)F1 | $4.78 | Nov 9, 2018 | M | 35,000 | D | May 4, 2016 | May 4, 2020 | Common Stock | 35,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $7.15 | Nov 9, 2018 | M | 33,333 | D | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 33,333 | 16,667 | D |
| Stock Option (Right to Buy)F3 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (Right to Buy)F4 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 72,500 | 72,500 | D |
Explanation of responses
- F1On 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.
- F2On 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.
- F3On April 28, 2017, Jennifer Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversaries of the grant date.
- F4On February 26, 2018, Jennifer Balliet was granted 72,500 stock options which vested ratably over the first three anniversary dates of the grant date.