SEC Form 4 · accession 0001209191-16-117178
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven C Jones
Officer — Executive VP of Finance
Period of report
Apr 20, 2016
Accepted (ET)
May 3, 2016 · 8:38 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 StockF1 | May 2, 2016 | S | 177,745 | $8.21 | D | 3,150,000 | I | By Aspen Select Healthcare LP |
| Common StockF2 | May 3, 2016 | G | 20,000 | $8.21 | D | 266,251 | D | |
| Common StockF2 | May 3, 2016 | G | 20,000 | $8.21 | A | 52,157 | I | Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones |
| Common Stock | holding | — | — | — | 50,476 | I | By Jones Network, LP | |
| Common Stock | holding | — | — | — | 190,000 | I | By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust |
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)F5 | $7.15 | Apr 20, 2016 | A | 100,000 | A | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 100,000 | 100,000 | D |
| Warrants (Right to Buy)F3 | $1.50 | holding | — | — | — | May 3, 2010 | May 3, 2017 | Common Stock | 450,000 | 450,000 | D |
| Stock Option (Right to Buy)F4 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 225,000 | 225,000 | D |
Explanation of responses
- F1Aspen Select Healthcare, LP is a private investment fund. Medical Venture Partners, LLC is the sole general partner of Aspen Select Healthcare, LP, and Mr. Jones is a Managing Member of Medical Venture Partners, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
- F2These shares are reflected both as a bona fide gift from Steven Jones and a bona fide gift to trust accounts for the immediate family of Steven Jones.
- F3Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
- F4On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F5On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.