SEC Form 4 · accession 0001209191-16-117603
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maher Albitar
Officer — Chief Medical Officer
Period of report
Apr 20, 2016
Accepted (ET)
May 4, 2016 · 8:18 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 | — | — | — | 63,492 | I | Shares owned by Albitar Oncology Defined Benefit Plan |
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 | 200,000 | A | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F1 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F2 | $4.78 | holding | — | — | — | May 5, 2016 | May 5, 2020 | Common Stock | 300,000 | 300,000 | D |
| Warrants (Right to Buy)F3 | $1.43 | holding | — | — | — | May 9, 2014 | Jan 9, 2017 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F4 | $1.43 | holding | — | — | — | Jan 9, 2013 | Jan 9, 2017 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1On March 5, 2014, Dr. Albitar was granted 30,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F2On May 5, 2015, Dr. Albitar was granted 300,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F3These warrants were issued to Dr. Albitar upon the start of his service to the Company and vest upon the achievement of certain milestones.
- F4These stock options were granted upon the start of Dr. Albitar's service to the Company and vest ratably over each of his first four anniversaries with the Company.
- F5On April 20, 2016, Dr. Albitar was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.