SEC Form 4 · accession 0001209191-15-087391
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert H. Horel
Officer — Vice President GM PathLogic
Period of report
Dec 29, 2015
Accepted (ET)
Dec 30, 2015 · 4:34 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 | Dec 29, 2015 | M | 26,218 | $1.45 | A | 26,218 | D | |
| Common Stock | Dec 29, 2015 | M | 25,000 | $1.69 | A | 51,218 | 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 | $1.45 | Dec 29, 2015 | X | 26,218 | A | May 20, 2012 | May 20, 2016 | Common Stock | 26,218 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.69 | Dec 29, 2015 | X | 25,000 | A | Apr 12, 2012 | Apr 12, 2017 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy)F3 | $4.78 | holding | — | — | — | May 6, 2016 | May 6, 2020 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1On May 20, 2011, Mr. Horel was granted 50,000 stock options. These options vest ratably over the first four anniversaries of the grant date. On December 19, 2014, Mr. Horel exercised 23,782 options leaving a balance of 26,218.
- F2On April 12, 2012, Mr. Horel was granted 25,000 stock options. 6,250 options vested immediately and 6,250 options vest on each of the next three anniversaries of the grant date.
- F3On May 6, 2015, Mr. Horel was granted 50,000 stock options. These options vest ratably over the next three years on the anniversary date from the date of the grant.