SEC Form 4 · accession 0001209191-17-044259
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven G. Brodie
Officer — Vice President of Operations
Period of report
Jul 5, 2017
Accepted (ET)
Jul 6, 2017 · 9:25 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 | Jul 5, 2017 | M | 6,666 | $3.45 | A | 32,619 | 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)F1 | $3.45 | Jul 5, 2017 | X | 6,666 | D | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 6,666 | 13,334 | D |
| Stock Option (Right to Buy)F2 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy)F3 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F4 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1On March 5, 2014, Dr. Brodie was granted 20,000 stock options. The options will vest ratably over the next three anniversary dates of the grant date. On July 5, 2017, Dr. Brodie exercised 6,666 options leaving a balance of 13,334.
- F2On May 4, 2015, Dr. Brodie was granted 120,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.
- F3On April 20, 2016, Dr. Brodie was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F4On April 28, 2017, Dr. Brodie was granted 50,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.