SEC Form 4 · accession 0001209191-16-118827
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven A Ross
Officer — CIO
Period of report
May 9, 2016
Accepted (ET)
May 10, 2016 · 4:43 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 | May 9, 2016 | M | 15,000 | $4.78 | A | 19,500 | D | |
| Common Stock | May 9, 2016 | S | 15,000 | $8.22 | D | 4,500 | D | |
| Common Stock | holding | — | — | — | 4,500 | 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) | $4.78 | May 9, 2016 | X | 15,000 | D | May 6, 2016 | May 6, 2020 | Common Stock | 15,000 | 85,000 | D |
| Stock Option (Right to Buy)F1 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to buy)F2 | $4.78 | holding | — | — | — | May 6, 2016 | May 6, 2020 | Common Stock | 100,000 | 85,000 | D |
Explanation of responses
- F1On April 20, 2016, Mr. Ross was granted 40,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F2On May 6, 2015, Mr. Ross was granted 100,000 stock options to purchase common stock of the Company. These options vest ratably on each of the first three anniversary dates of the grant date. On May 9, 2016, Mr. Ross exercised 15,000 of these options leaving a balance of 85,000 options.