SEC Form 4 · accession 0001209191-17-008193
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M Van Oort
Officer — Chairman and CEO
Period of report
Feb 2, 2017
Accepted (ET)
Feb 6, 2017 · 9:25 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 | Feb 2, 2017 | M | 200,000 | $1.71 | A | 1,875,000 | D | |
| Common StockF3,F4 | Feb 2, 2017 | F | 42,015 | $8.14 | D | 1,832,985 | D | |
| Common StockF1 | holding | — | — | — | 187,500 | I | Conundrum Capital Partners | |
| Common StockF2 | holding | — | — | — | 1,675,000 | 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) | $1.71 | Feb 2, 2017 | X | 200,000 | D | Feb 14, 2013 | Feb 14, 2017 | Common Stock | 200,000 | 0 | D |
| Stock Option (Right to Buy)F5 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 472,527 | 472,527 | D |
Explanation of responses
- F1Conundrum Capital Partners, LLC is a limited liability partnership 50% owned by Mr. VanOort. Mr. VanOort is a managing partner of Conundrum Capital Partners, LLC
- F2Includes 125,000 shares of restricted stock that the Board of Directors approved and granted on April 15, 2014. The terms of the award call for the stock to vest on the third anniversary of the grant date as long as Mr. Van Oort is still an employee of the Company. This was disclosed in our Quarterly Report on Form 10-Q as filed with the Securities and Exchange Commission on July 29, 2014.
- F3Shares withheld by NeoGenomics Inc. to satisfy the cost of shares in connection with the February 2, 2017 stock option exercise.
- F4Closing stock price on February 1, 2017.
- F5On April 20, 2016, Mr. VanOort was granted 472,527 stock options. These options vest ratably over the first three anniversary dates of the grant date.