SEC Form 4 · accession 0001209191-17-046748
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alison L. Hannah
Director
Period of report
Jul 27, 2017
Accepted (ET)
Jul 31, 2017 · 5:25 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 StockF1 | Jul 27, 2017 | P | 20,000 | $9.19 | A | 38,782 | 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)F2 | $6.66 | holding | — | — | — | Jul 15, 2016 | Jul 15, 2020 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (Right to Buy)F3 | $9.11 | holding | — | — | — | Jul 28, 2017 | Jul 28, 2021 | Common Stock | 8,333 | 8,333 | D |
| Stock Option (Right to Buy)F4 | $7.27 | holding | — | — | — | May 25, 2018 | May 25, 2022 | Common Stock | 10,000 | 10,000 | D |
| Restricted StockF5,F6,F7 | — | holding | — | — | — | Jun 30, 2017 | — | Common Stock | 8,667 | 8,667 | D |
Explanation of responses
- F1Represents the average purchase price of shares purchased on July 27, 2017.
- F2On July 15, 2015 Alison Hannah was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.
- F3On July 28, 2016, Alison Hannah was granted 8,333 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- F4On May 25, 2017, Alison Hannah was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.
- F5Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- F6The 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.
- F7These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.