SEC Form 4 · accession 0001209191-16-153941
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven G. Brodie
Officer — President, Pharma Services
Period of report
Dec 6, 2016
Accepted (ET)
Dec 7, 2016 · 5:12 pm EST
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 | Dec 6, 2016 | M | 10,000 | $1.69 | A | 65,953 | 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 | $1.69 | Dec 6, 2016 | X | 10,000 | D | Apr 12, 2012 | Apr 12, 2017 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $3.76 | holding | — | — | — | Apr 16, 2014 | Apr 16, 2018 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (Right to Buy)F3 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (Right to Buy)F4 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy)F5 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1On April 12, 2012 Dr.Brodie was granted 10,000 stock options. There was immediate vesting of 2,500 shares and then 2,500 shares will vest on the next three anniversary dates of the grant date.
- F2On April 16, 2013 Dr. Brodie was granted 10,000 stock options. These options will vest ratably over the next three anniversary dates of the grant dates.
- F3On March 5, 2014 Dr. Brodie was granted 20,000 stock options. The options will vest ratably over the next three anniversary dates of the grant date.
- F4On May 4, 2015 Dr, Brodie was granted 120,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.
- F5On April 20, 2016, Mr. Brodie was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.