SEC Form 4 · accession 0001209191-16-141827
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven C Jones
Officer — Executive VP of Finance
Period of report
Sep 14, 2016
Accepted (ET)
Sep 16, 2016 · 5:11 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 StockF1 | holding | — | — | — | 3,150,000 | I | By Aspen Select Healthcare LP | |
| Common Stock | holding | — | — | — | 266,251 | D | ||
| Common Stock | holding | — | — | — | 50,476 | I | By Jones Network, LP | |
| Common Stock | holding | — | — | — | 52,157 | I | Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones | |
| Common Stock | holding | — | — | — | 190,000 | I | By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF5 | $1.50 | Sep 14, 2016 | S | 225,000 | D | May 3, 2010 | May 3, 2017 | Common Stock | 225,000 | 0 | D |
| WarrantsF5 | $1.50 | Sep 14, 2016 | S | 112,500 | D | May 3, 2010 | May 3, 2017 | Common Stock | 112,500 | 0 | D |
| WarrantsF5 | $1.50 | Sep 14, 2016 | S | 112,500 | D | May 3, 2010 | May 3, 2017 | Common Stock | 112,500 | 0 | D |
| Stock Option (Right to Buy)F2 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 225,000 | 225,000 | D |
| Stock Option (Right to Buy)F3 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Aspen Select Healthcare, LP is a private investment fund. Medical Venture Partners, LLC is the sole general partner of Aspen Select Healthcare, LP, and Mr. Jones is a Managing Member of Medical Venture Partners, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
- F2On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F3On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F4Warrants were sold to an unaffiliated third party and remain subject to exercise.
- F5Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.