SEC Form 4 · accession 0001209191-17-055258

NEOGENOMICS INC · NEO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Aug 9, 2017

Accepted (ET)

Oct 3, 2017 · 5:19 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	Aug 9, 2017	M	6,667	$6.66	A	45,449	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F1	$6.66	Aug 9, 2017	X	6,667	D	Jul 15, 2016	Jul 15, 2020	Common Stock	6,667	3,333	D
Stock Option (Right to Buy)^F2	$9.11	holding	—	—	—	Jul 28, 2017	Jul 28, 2021	Common Stock	8,333	8,333	D
Stock Option (Right to Buy)^F3	$7.27	holding	—	—	—	May 25, 2018	May 25, 2022	Common Stock	10,000	10,000	D
Restricted Stock^F4,F5,F6	—	holding	—	—	—	Jun 30, 2017	—	Common Stock	8,667	8,667	D

F1On 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. On 8/9/2017 6,667 of these options were exercised leaving a balance of 3,333.
F2On 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.
F3On 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.
F4Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
F5The 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.
F6These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.