SEC Form 4 · accession 0001077183-19-000015
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J. Shovlin
Officer — President, Clinical Services
Period of report
Feb 26, 2019
Accepted (ET)
Feb 28, 2019 · 5:05 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 | Feb 26, 2019 | M | 119,348 | $7.15 | A | 242,739 | D | |
| Common Stock | Feb 26, 2019 | M | 66,666 | $7.52 | A | 309,405 | D | |
| Common Stock | Feb 26, 2019 | S | 141,879 | $18.88 | D | 167,526 | D | |
| Common Stock | Feb 27, 2019 | S | 44,135 | $19.23 | D | 123,391 | D | |
| Common Stock | Feb 28, 2019 | M | 13,986 | $7.15 | A | 137,377 | 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 | $7.15 | Feb 26, 2019 | M | 119,348 | D | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 119,348 | 80,652 | D |
| Stock Option (Right to Buy)F1 | $7.15 | Feb 28, 2019 | M | 13,986 | D | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 13,986 | 66,666 | D |
| Stock Option (Right to Buy)F2 | $7.52 | Feb 26, 2019 | M | 66,666 | D | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 66,666 | 133,334 | D |
| Stock Option (Right to Buy)F3 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 288,500 | 288,500 | D |
Explanation of responses
- F1On April 20, 2016, Mr. Shovlin was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F2On April 28, 2017, Mr. Shovlin was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F3On February 26, 2018, Mr. Shovlin was granted 288,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.