SEC Form 4 · accession 0001209191-16-122335
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 18, 2016
Accepted (ET)
May 20, 2016 · 9:56 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 18, 2016 | M | 18,000 | $4.78 | A | 22,500 | D | |
| Common Stock | May 18, 2016 | S | 18,000 | $8.50 | 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)F3 | $4.78 | May 18, 2016 | X | 18,000 | D | May 6, 2016 | May 6, 2020 | Common Stock | 18,000 | 67,000 | 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 | $3.93 | holding | — | — | — | Apr 22, 2014 | Apr 22, 2018 | Common Stock | 37,500 | 37,500 | 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 April 22, 2013, Mr. Ross was granted 150,000 options to purchase common stock of the Company. These options vest ratably on each of the next four anniversary dates of the grant date. On April 29, 2016, Mr. Ross exercised 112,500 of these options leaving a balance of 37,500.
- F3On 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 and on May 18, 2016 Mr. Ross exercised 18,000 options leaving a balance of 67,000 options.