SEC Form 4 · accession 0001077183-19-000020
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
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 5:25 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 28, 2019 | M | 20,000 | $7.52 | A | 40,000 | D | |
| Common Stock | Feb 28, 2019 | M | 10,000 | $8.03 | A | 50,000 | D | |
| Common StockF1 | Feb 28, 2019 | S | 30,000 | $19.57 | D | 20,000 | D | |
| Common Stock | Mar 1, 2019 | A | 2,862 | $0.00 | A | 22,862 | D | |
| Common Stock | Mar 4, 2019 | M | 14,000 | $8.03 | A | 36,862 | D | |
| Common StockF1 | Mar 4, 2019 | S | 14,000 | $19.09 | D | 22,862 | 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)F2 | $8.03 | Feb 28, 2019 | M | 10,000 | D | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 10,000 | 62,500 | D |
| Stock Option (Right to Buy)F3 | $7.52 | Feb 28, 2019 | M | 20,000 | D | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 20,000 | 40,000 | D |
| Stock Option (Right to Buy)F4 | $19.60 | Mar 1, 2019 | A | 17,496 | A | Mar 1, 2020 | Mar 1, 2024 | Common Stock | 17,496 | 17,496 | D |
| Stock Option (Right to Buy)F5 | $8.03 | Mar 4, 2019 | M | 14,000 | D | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 14,000 | 48,500 | D |
| Stock Option (Right to Buy)F6 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 16,667 | 16,667 | D |
Explanation of responses
- F1Average price of shares sold.
- F2On February 26, 2018, Ms. Balliet was granted 72,500 stock options which vested ratably over the first three anniversary dates of the grant date.
- F3On April 28, 2017, Ms. Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversaries of the grant date.
- F4On March 1, 2019, Ms. Balliet was granted 17,496 stock options which vested ratably over the first four anniversary dates of the grant date.
- F5On February 26, 2018, Jennifer Balliet was granted 72,500 stock options which vested ratably over the first three anniversary dates of the grant date.
- F6On April 20, 2016, Ms. Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.