SEC Form 4 · accession 0001209191-17-029207
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven A Ross
Officer — CIO
Period of report
Apr 28, 2017
Accepted (ET)
May 2, 2017 · 4:33 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 | holding | — | — | — | 4,500 | 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)F4 | $7.52 | Apr 28, 2017 | A | 65,000 | A | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 65,000 | 65,000 | D |
| Stock Option (Right to Buy)F1 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to buy)F2 | $3.93 | holding | — | — | — | Apr 22, 2014 | Apr 22, 2018 | Common Stock | 37,500 | 37,500 | D |
| Stock Option (Right to Buy)F3 | $4.78 | holding | — | — | — | May 6, 2016 | May 6, 2020 | Common Stock | 67,000 | 67,000 | D |
Explanation of responses
- F1On April 20, 2016, Mr. Ross was granted 40,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F2On April 22, 2013, Mr. Ross was granted 150,000 stock options to purchase common stock of the Company. These options vest ratably on each of the next 4 anniversary dates of the grant date.
- F3On May 6, 2015, Mr. Ross was granted 100,000 stock options to purchase common stock of the Company. These options vest ratably on each of the first three anniversary dates of the grant date. On May 9, 2016, Mr. Ross exercised 15,000 of these options leaving a balance of 85,000 options and on May 18, 2016, Mr. Ross exercised 18,000 of these options leaving a balance of 67,000 options.
- F4On April 28, 2017, Mr. Ross was granted 65,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.