SEC Form 4 · accession 0001144204-15-027925
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Balliet
Officer — Vice President of HR
Period of report
May 4, 2015
Accepted (ET)
May 6, 2015 · 3:40 pm EDT
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 | holding | — | — | — | 465 | 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)F6 | $4.78 | May 4, 2015 | A | 120,000 | A | May 4, 2016 | May 4, 2020 | Common Stock | 0 | 120,000 | D |
| Stock Option (Right to Buy)F1 | $1.45 | holding | — | — | — | May 20, 2012 | May 20, 2016 | Common Stock | 0 | 3,334 | D |
| Stock Option (Right to Buy)F2 | $1.10 | holding | — | — | — | Oct 14, 2012 | Oct 14, 2016 | Common Stock | 0 | 3,334 | D |
| Stock Option (Right to Buy)F3 | $1.69 | holding | — | — | — | Apr 12, 2012 | Apr 12, 2017 | Common Stock | 0 | 6,250 | D |
| Stock Option (Right to Buy)F4 | $3.76 | holding | — | — | — | Apr 16, 2014 | Apr 16, 2018 | Common Stock | 0 | 7,500 | D |
| Stock Option (Right to Buy)F5 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 0 | 15,000 | D |
Explanation of responses
- F1On May 20, 2011 Jennifer Balliet was granted 10,000 stock options. The options vested ratably over the first three anniversaries dates of the grant date. Jennifer exercised 6,666 of these options and she currently has 3,334 options available to exercise.
- F2On October 14, 2011 Jennifer Balliet was granted 10,000 stock options. The options vest ratably over the first three anniversary dates of the grant date. Jennifer Balliet exercised 6,666 options from this grant and has 3,334 options available to be exercised.
- F3On April 12, 2012 Jennifer Balliet was granted 12,500 stock options. One quarter of these options vested immediately and the remaining options vested on the next three anniversary dates of the grant date. Jennifer Balliet has exercised 6,250 stock options from this grant and has 6,250 options available to be exercised.
- F4On April 16, 2013 Jennifer Balliet was granted 7,500 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F5On March 5, 2014 Jennifer Balliet was granted 15,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F6On May 4, 2015 Jennifer Balliet was granted 120,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.