SEC Form 4 · accession 0001209191-17-029216
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Balliet
Officer — VP and Chief Culture Officer
Period of report
Apr 28, 2017
Accepted (ET)
May 2, 2017 · 4:39 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 | — | — | — | 13,383 | 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)F5 | $7.52 | Apr 28, 2017 | A | 60,000 | A | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (Right to Buy)F1 | $3.76 | holding | — | — | — | Apr 16, 2014 | Apr 16, 2018 | Common Stock | 7,500 | 7,500 | D |
| Stock Option (Right to Buy)F2 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (Right to Buy)F3 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy)F4 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1On April 16, 2013, Jennifer Balliet was granted 7,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F2On March 5, 2014, Jennifer Balliet was granted 15,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F3On May 4, 2015, Jennifer Balliet was granted 120,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F4On April 20, 2016, Jennifer Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F5On April 28, 2017, Jennifer Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversaries of the grant date.