SEC Form 4 · accession 0001077183-19-000037
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M Van Oort
Officer — Chairman and CEO · Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 5:10 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 | Mar 1, 2019 | A | 37,883 | $0.00 | A | 2,092,435 | D | |
| Common StockF1 | holding | — | — | — | 187,500 | I | Conundrum Capital Partners |
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 | $19.60 | Mar 1, 2019 | A | 231,567 | A | Mar 1, 2020 | Mar 1, 2024 | Common Stock | 231,567 | 231,567 | D |
| Stock Option (Right to Buy)F3 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 500,000 | 500,000 | D |
| Stock Option (Right to Buy)F4 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 500,000 | 500,000 | D |
| Stock Option (Right to Buy)F5 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 472,527 | 472,527 | D |
Explanation of responses
- F1Conundrum Capital Partners, LLC is a limited liability partnership 50% owned by Mr. VanOort. Mr.VanOort is a managing partner of Conundrum Capital Partners, LLC.
- F2On March 1, 2019, Mr. VanOort was granted an option to purchase 231,567 shares of NeoGenomics, Inc. common stock. The options vest ratably over the first four anniversary dates of the grant date.
- F3On April 28, 2017, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F4On February 26, 2018, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F5On April 20, 2016, Mr. VanOort was granted 472,527 stock options. These options vest ratably over the first three anniversary dates of the grant date.