SEC Form 4 · accession 0001209191-16-134462
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lynn A. Tetrault
Director
Period of report
Jul 28, 2016
Accepted (ET)
Jul 29, 2016 · 4:53 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 | — | — | — | 14,560 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF1,F3 | — | Jul 28, 2016 | A | 5,072 | A | Sep 30, 2016 | Mar 31, 2017 | Common Stock | 5,072 | 7,222 | D |
| Stock Option (Right to Buy)F5 | $9.11 | Jul 28, 2016 | A | 8,333 | A | Jul 28, 2017 | Jul 28, 2021 | Common Stock | 8,333 | 25,555 | D |
| Restricted StockF1,F2 | — | holding | — | — | — | Jun 30, 2016 | Mar 31, 2017 | Common Stock | 2,150 | 2,150 | D |
| Stock Option (Right to Buy)F4 | $4.78 | holding | — | — | — | Jul 15, 2016 | Jul 15, 2020 | Common Stock | 10,000 | 17,222 | D |
Explanation of responses
- F1Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- F2537.5 shares will vest on June 30, 2016 and thereafter, 537.5 shares will vest on the last day of each calendar quarter for the next three fiscal quarters up to March 31, 2017.
- F31,690.6 shares will vest on September 30, 2016 and thereafter, 1,690.7 shares will vest on the last day of each calendar quarter for the next two fiscal quarters up to March 31, 2017.
- F4On July 15, 2015, Lynn Tetrault was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.
- F5On July 28, 2016, Lynn Tetrault was granted 8,333 stock options. The options vest ratably over the first three anniversary dates of the grant date.