SEC Form 4 · accession 0001209191-16-117188
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J. Shovlin
Officer — Chief Growth Officer
Period of report
Apr 20, 2016
Accepted (ET)
May 3, 2016 · 8:48 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 | — | — | — | 6,550 | 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)F2 | $7.15 | Apr 20, 2016 | A | 200,000 | A | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F1 | $4.79 | holding | — | — | — | Oct 13, 2015 | Oct 13, 2019 | Common Stock | 0 | 300,000 | D |
Explanation of responses
- F1On October 13, 2014, Mr. Shovlin was granted an option to purchase 300,000 shares. The options have time based vesting. On the first anniversary of the option grant date 75,000 shares vest. Then beginning on the thirteenth (13th) month through the fourth anniversary of the option grant date 6,250 shares will vest on a monthly basis.
- F2On April 20, 2016, Mr. Shovlin was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.