SEC Form 4 · accession 0001209191-17-036318
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce K Crowther
Director
Period of report
May 25, 2017
Accepted (ET)
May 30, 2017 · 9:27 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 | May 30, 2017 | M | 7,222 | $0.00 | A | 17,202 | D | |
| Common Stock | holding | — | — | — | 9,980 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF1,F3 | — | May 30, 2017 | C | 2,150 | D | Jun 30, 2016 | Mar 31, 2017 | Common Stock | 2,150 | 0 | D |
| Restricted StockF1,F4 | — | May 30, 2017 | C | 5,072 | D | Sep 30, 2016 | Mar 31, 2017 | Common Stock | 5,072 | 0 | D |
| Stock Option (Right to Buy)F7 | $7.27 | May 25, 2017 | A | 10,000 | A | May 25, 2018 | May 25, 2022 | Common Stock | 10,000 | 10,000 | D |
| Restricted StockF1,F8,F9 | — | May 25, 2017 | A | 8,667 | A | Jun 30, 2017 | — | Common Stock | 8,667 | 8,667 | D |
| Stock Option (Right to Buy)F5 | $4.78 | holding | — | — | — | May 6, 2016 | May 6, 2020 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (Right to Buy)F6 | $9.11 | holding | — | — | — | Jul 28, 2017 | Jul 28, 2021 | Common Stock | 8,333 | 8,333 | D |
Explanation of responses
- F1Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- F2Restricted stock has vested and restricted stock certificate issued for shares of the company's common stock.
- F3537.5 shares will vest on June 30, 2016 and thereafter, 537.5 shares will vest on the last day of each calendar quarter for the next three fiscal quarters up to March 31, 2017.
- F41,690.6 shares will vest on September 30, 2016 and thereafter, 1,690.7 shares will vest on the last day of each calendar quarter for the next two fiscal quarters up to March 31, 2017.
- F5On May 6, 2015 Mr. Crowther was granted 10,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F6On July 28, 2016, Mr. Crowther was granted 8,333 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F7On May 25, 2017, Mr. Crowther was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.
- F8The restricted stock will vest as follows; 2,166 units at June 30, 2017 and thereafter, 2,167 shares will vest on the last day of each calendar quarter for the next three fiscal quarters up to March 31, 2018.
- F9These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.