SEC Form 4 · accession 0001209191-17-042170
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven C Jones
Officer — Executive Vice President
Period of report
Jun 27, 2017
Accepted (ET)
Jun 28, 2017 · 6:09 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 StockF2 | Jun 27, 2017 | J | 190,000 | — | D | 190,000 | I | By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust |
| Common StockF2 | Jun 27, 2017 | J | 190,000 | — | A | 190,000 | I | By self as Trustee for Steven and Carisa Jones 401k and Trust |
| Common StockF1 | holding | — | — | — | 3,150,000 | I | By Aspen Select Oppurtunity Fund | |
| Common Stock | holding | — | — | — | 246,251 | D | ||
| Common Stock | holding | — | — | — | 50,476 | I | By Jones Network, LP | |
| Common Stock | holding | — | — | — | 52,157 | I | Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones |
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)F3 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 225,000 | 225,000 | D |
| Stock Option (Right to Buy)F4 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF5 | $7.27 | holding | — | — | — | May 25, 2018 | May 25, 2022 | Common Stock | 10,000 | 10,000 | D |
| Restricted StockF6,F7,F8 | $0.00 | holding | — | — | — | Jun 30, 2017 | — | Common Stock | 8,667 | 8,667 | D |
Explanation of responses
- F1Aspen Select Opportunity Fund is a private investment fund of which Aspen Capital Group, LLC is the sole general partner. Mr. Jones is a Managing Member of Aspen Capital Group, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
- F2Transaction represents non-market transfer from Steven and Carisa Jones Defined Benefit Plan to Steven and Carisa Jones 401k Plan and Trust
- F3On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F4On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F5On May 25, 2017, Mr. Jones was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.
- F6Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- F7The 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.
- F8These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.