SEC Form 4 · accession 0001209191-16-138310
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
Aug 19, 2016
Accepted (ET)
Aug 23, 2016 · 4:28 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 | Aug 19, 2016 | M | 200,000 | $1.43 | A | 263,492 | D | |
| Common Stock | Aug 19, 2016 | M | 20,000 | $3.45 | A | 283,492 | D | |
| Common Stock | Aug 19, 2016 | M | 100,000 | $4.78 | A | 383,492 | D | |
| Common Stock | Aug 19, 2016 | M | 250,000 | $1.43 | A | 633,492 | D | |
| Common Stock | Aug 19, 2016 | S | 370,000 | $8.23 | D | 263,492 | D | |
| Common StockF1,F2 | Aug 19, 2016 | F | 34,625 | $8.26 | D | 228,867 | D | |
| 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy)F3 | $1.43 | Aug 19, 2016 | X | 200,000 | D | May 9, 2014 | Jan 9, 2017 | Common Stock | 200,000 | 0 | D |
| Stock Option (Right to Buy)F4 | $3.45 | Aug 19, 2016 | X | 20,000 | D | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 20,000 | 10,000 | D |
| Stock Option (Right to Buy)F5 | $4.78 | Aug 19, 2016 | X | 100,000 | D | May 5, 2016 | May 5, 2020 | Common Stock | 100,000 | 200,000 | D |
| Stock Option (Right to Buy)F6 | $1.43 | Aug 19, 2016 | X | 250,000 | D | Jan 9, 2013 | Jan 9, 2017 | Common Stock | 250,000 | 0 | D |
| Stock Option (Right to Buy)F7 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1Shares withheld by NeoGenomics, Inc. to satisfy the cost of shares in connection with the August 19, 2016 warrant exercise.
- F2Closing stock price on date of exercise, August 19, 2016.
- F3These warrants were issued to Dr. Albitar upon the start of his service to the Company and vest upon the achievement of certain milestones.
- F4On 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.
- F5On 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.
- F6These 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.
- F7On 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.