SEC Form 4 · accession 0001209191-16-145592
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Balliet
Officer — VP and Chief Culture Officer
Period of report
Oct 7, 2016
Accepted (ET)
Oct 11, 2016 · 4:44 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 | Oct 7, 2016 | M | 3,334 | $1.10 | A | 7,133 | 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)F1 | $1.10 | Oct 7, 2016 | X | 3,334 | D | Oct 14, 2012 | Oct 14, 2016 | Common Stock | 3,334 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.69 | holding | — | — | — | Apr 12, 2012 | Apr 12, 2017 | Common Stock | 6,250 | 6,250 | D |
| Stock Option (Right to Buy)F3 | $3.76 | holding | — | — | — | Apr 16, 2014 | Apr 16, 2018 | Common Stock | 7,500 | 7,500 | D |
| Stock Option (Right to Buy)F4 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (Right to Buy)F5 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy)F6 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1On October 14, 2011, Jennifer Balliet was granted 10,000 stock options. The options vest ratably over the first three anniversaries of the grant date.
- F2On April 12, 2012, Jennifer Balliet was granted 12,500 stock options. One quarter of these options vested immediately and the remaining options vested on the next three anniversary dates of the grant date. Jennifer Balliet has exercised 6,250 of these options and has 6,250 options available to exercise.
- F3On April 16, 2013, Jennifer Balliet was granted 7,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F4On March 5, 2014, Jennifer Balliet was granted 15,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F5On May 4, 2015, Jennifer Balliet was granted 120,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F6On April 20, 2016, Jennifer Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.