SEC Form 4 · accession 0001144204-15-027927
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Cardoza
Officer — Chief Financial Officer
Period of report
May 4, 2015
Accepted (ET)
May 6, 2015 · 3:44 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 | — | — | — | 121,089 | D | ||
| Common Stock | holding | — | — | — | 20,000 | I | Trust by Self |
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)F3 | $4.78 | May 4, 2015 | A | 200,000 | A | May 4, 2016 | May 4, 2020 | Common Stock | 0 | 200,000 | D |
| Stock Option (Right to Buy)F1 | $1.46 | holding | — | — | — | Apr 14, 2012 | Apr 13, 2016 | Common Stock | 0 | 100,000 | D |
| Stock Option (Right to Buy)F2 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 0 | 30,000 | D |
Explanation of responses
- F1On April 14, 2011 Mr. Cardoza was granted a option to purchase 100,000 shares. These options vest ratably at the first four anniversary dates of the grant.
- F2On March 5, 2014 Mr. Cardoza was granted an option to purchase 30,000 shares. These options vest ratably over the first three anniversary dates of the grant.
- F3On May 4, 2015 Mr. Cardoza was granted an option to purchase 200,000 shares. These options vest ratably over the first three anniversary dates of the grant date.