SEC Form 4 · accession 0001209191-17-022294
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
Mar 13, 2017
Accepted (ET)
Mar 22, 2017 · 4:15 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 | Mar 13, 2017 | S | 16,550 | $8.00 | D | 49,403 | D | |
| Common Stock | Mar 20, 2017 | S | 33,450 | $7.90 | D | 15,953 | 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)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
- F1This line is included for purposes of amending the filing on 3/17/2017 which inadvertently showed the transaction as securities acquired rather than securities disposed of.
- 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.