SEC Form 4 · accession 0001077183-18-000119
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lynn A. Tetrault
Director
Period of report
Nov 14, 2018
Accepted (ET)
Nov 16, 2018 · 5:18 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 15, 2018 | M | 10,000 | $6.66 | A | 47,346 | D | |
| Common Stock | Nov 15, 2018 | M | 5,555 | $9.11 | A | 52,901 | D | |
| Common Stock | Nov 15, 2018 | M | 3,333 | $7.27 | A | 56,234 | D | |
| Common Stock | Nov 14, 2018 | S | 5,000 | $16.16 | D | 51,234 | 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 | $6.66 | Nov 15, 2018 | M | 10,000 | D | Jul 15, 2016 | Jul 15, 2020 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $9.11 | Nov 15, 2018 | M | 5,555 | D | Jul 28, 2017 | Jul 28, 2021 | Common Stock | 5,555 | 2,778 | D |
| Stock Option (Right to Buy)F3 | $7.27 | Nov 15, 2018 | M | 3,333 | D | May 25, 2018 | May 25, 2022 | Common Stock | 3,333 | 6,667 | D |
| Stock Options (Right to Buy) | $11.60 | holding | — | — | — | Jun 1, 2019 | Jun 1, 2023 | Common Stock | 3,017 | 3,017 | D |
Explanation of responses
- F1On July 15, 2015, Lynn Tetrault was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.
- F2On July 28, 2016, Lynn Tetrault was granted 8,333 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F3On May 25, 2017, Lynn Tetrault was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.