SEC Form 4 · accession 0001209191-16-108204
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
Mar 11, 2016
Accepted (ET)
Mar 14, 2016 · 6:02 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 | Mar 11, 2016 | M | 100,000 | $1.46 | A | 221,089 | D | |
| Common Stock | Mar 11, 2016 | S | 32,000 | $6.83 | D | 189,089 | 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)F1 | $1.46 | Mar 11, 2016 | X | 100,000 | D | Apr 14, 2012 | Apr 13, 2016 | Common Stock | 100,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F3 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1On April 14, 2011 Mr. Cardoza was granted an option to purchase 100,000 shares. These options vest ratably over 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.