SEC Form 4 · accession 0001209191-16-117186
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M Van Oort
Officer — Chairman and CEO
Period of report
Apr 20, 2016
Accepted (ET)
May 3, 2016 · 8:46 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 | holding | — | — | — | 187,500 | I | Conundrum Capital Partners | |
| Common Stock | holding | — | — | — | 1,675,000 | 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)F3 | $7.15 | Apr 20, 2016 | A | 472,527 | A | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 472,527 | 472,527 | D |
| Stock Option (Right to Buy)F2 | $1.71 | holding | — | — | — | Feb 14, 2013 | Feb 14, 2017 | Common Stock | 800,000 | 800,000 | D |
Explanation of responses
- F1Conundrum Capital Partners, LLC is a limited liability partnership 50% owned by Mr. VanOort. Mr.VanOort is a managing partner of Conundrum Capital Partners, LLC.
- F2On February 14, 2012, Mr. VanOort was granted options to purchase 800,000 shares. These shares vest equally over each of the first four anniversaries of the grant date.
- F3On April 20, 2016, Mr. VanOort was granted 472,527 stock options. These options vest ratably over the first three anniversary dates of the grant date.