SEC Form 4 · accession 0001209191-17-036155
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maher Albitar
Officer — Chief Medical Officer
Period of report
May 25, 2016
Accepted (ET)
May 30, 2017 · 5:05 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 | — | — | — | 60,692 | I | Shares owned by Albitar Oncology Defined Benefit Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF3,F4,F5 | $0.00 | May 25, 2017 | A | 20,000 | A | May 25, 2018 | — | Common Stock | 20,000 | 20,000 | D |
| Stock Option (Right to Buy)F1 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F2 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1On April 20, 2016, Dr. Albitar was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F2On April 28, 2017, Dr. Albitar was granted 200,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F3Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- F4Restricted stock will vest as follows; 6,666 will vest on May 25, 2018 and 6,667 will vest on May 25, 2019 and 2020.
- F5These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.