SEC Form 4 · accession 0001209191-17-001256

NEOGENOMICS INC · NEO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jan 3, 2017

Accepted (ET)

Jan 4, 2017 · 5:33 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	Jan 3, 2017	M	3,333	$4.78	A	121,087	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)	$4.78	Jan 3, 2017	X	3,333	D	May 6, 2016	May 6, 2020	Common Stock	3,333	22,222	D
Restricted Stock^F1,F2	—	holding	—	—	—	Jun 30, 2016	Mar 31, 2017	Common Stock	2,150	2,150	D
Restricted Stock^F1,F3	—	holding	—	—	—	Sep 30, 2017	Mar 31, 2017	Common Stock	5,072	7,222	D
Stock Option (Right to Buy)^F4	$9.11	holding	—	—	—	Jul 28, 2017	Jul 28, 2021	Common Stock	8,333	15,555	D
Stock Option (Right to Buy)^F5	$4.78	holding	—	—	—	May 6, 2016	May 6, 2020	Common Stock	10,000	25,555	D

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 28, 2016, Mr. Johnson was granted 8,333 stock options. The options vest ratably over the first three anniversary dates of the grant date.
F5On May 6, 2015 Mr. Johnson was granted 10,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.