SEC Form 4 · accession 0001077183-18-000117
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven C Jones
Officer — Executive Vice President · Director
Period of report
Nov 12, 2018
Accepted (ET)
Nov 14, 2018 · 7:30 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 StockF1 | Nov 12, 2018 | S | 100,000 | $16.66 | D | 2,200,000 | I | By Aspen Select Opportunity Fund |
| Common StockF1 | Nov 13, 2018 | S | 31,574 | $16.69 | D | 2,168,426 | I | By Aspen Select Opportunity Fund |
| Common StockF1 | Nov 14, 2018 | S | 3,824 | $16.50 | D | 2,164,602 | I | By Aspen Select Opportunity Fund |
| Common Stock | Nov 13, 2018 | S | 4,000 | $16.66 | D | 186,000 | I | By self as Trustee for Steven and Carisa Jones 401k and Trust |
| Common Stock | Nov 14, 2018 | S | 1,729 | $16.50 | D | 184,271 | I | By self as Trustee for Steven and Carisa Jones 401k and Trust |
| Common Stock | holding | — | — | — | 48,657 | I | Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones | |
| Common Stock | holding | — | — | — | 241,815 | D | ||
| Common Stock | holding | — | — | — | 50,476 | I | By Jones Network, LP |
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) | $11.60 | holding | — | — | — | Jun 1, 2019 | Jun 1, 2023 | Common Stock | 3,017 | 3,017 | D |
| Stock Option (Right to Buy)F2 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 225,000 | 225,000 | D |
| Stock Option (Right to Buy)F3 | $7.27 | holding | — | — | — | May 25, 2018 | May 25, 2022 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (Right to Buy)F4 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Aspen Select Opportunity Fund is a private investment fund of which Aspen Capital Group, LLC is the sole general partner. Mr. Jones is a Managing Member of Aspen Capital Group, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
- F2On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F3On May 25, 2017, Mr. Jones was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.
- F4On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.