SEC Form 4 · accession 0001209191-16-124062
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
May 25, 2016
Accepted (ET)
May 27, 2016 · 4:38 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 25, 2016 | M | 600,000 | $1.71 | A | 2,275,000 | D | |
| Common StockF2,F3 | May 25, 2016 | F | 118,613 | $8.65 | D | 2,156,387 | D | |
| Common Stock | May 26, 2016 | S | 98,387 | $8.69 | D | 2,058,000 | D | |
| Common StockF4 | May 27, 2016 | S | 383,000 | $8.74 | D | 1,675,000 | D | |
| 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)F6 | $1.71 | May 25, 2016 | X | 600,000 | D | Feb 14, 2013 | Feb 14, 2017 | Common Stock | 600,000 | 200,000 | D |
| Stock Option (Right to BuyF5 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 472,527 | 472,527 | 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.
- F2Shares withheld by NeoGenomics Inc. to satisfy the cost of the shares in connection with the May 25, 2016 stock option exercise.
- F3Closing stock price on date of exercise, May 25, 2016.
- F4Includes 125,000 shares of restricted stock that the Board of Directors approved and granted on April 15, 2014. The terms of the award call for the stock to vest on the third anniversary of the grant date as long as Mr. VanOort is still an employee of the Company. This was disclosed in our Quarterly Report on Form 10-Q as filed with the Securities and Exchange Commission on July 29, 2014.
- F5On 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.
- F6On 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. On May 25, 2016. Mr. VanOort exercised 600,000 of these options leaving a balance of 200,000 options.