SEC Form 4 · accession 0001209191-18-014677
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Cardoza
Officer — Chief Financial Officer
Period of report
Feb 26, 2018
Accepted (ET)
Feb 28, 2018 · 6:47 pm EST
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 | holding | — | — | — | 189,089 | D | ||
| Common Stock | holding | — | — | — | 20,000 | I | Trust by Self |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F8 | $8.03 | Feb 26, 2018 | A | 192,500 | A | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 192,500 | 192,500 | D |
| Stock Option (Right to Buy)F1 | $3.45 | holding | — | — | — | Mar 5, 2015 | Mar 5, 2019 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F2 | $4.78 | holding | — | — | — | May 4, 2016 | May 4, 2020 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F3 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F4 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 200,000 | 200,000 | D |
| Restricted StockF5,F6,F7 | $0.00 | holding | — | — | — | May 25, 2018 | — | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1On March 5, 2014 Mr. Cardoza was granted an option to purchase 30,000 shares. These options vest ratably over the first three anniversary dates of the grant.
- F2On May 4, 2015 Mr. Cardoza was granted an option to purchase 200,000 shares. These options vest ratably over the first three anniversary dates of the grant.
- F3On April 20, 2016, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F4On April 28, 2017, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over 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.
- F6Restricted stock will vest as follows; 8,333 units will vest on May 25, 2018 and 2019 and 8,334 units will vest on May 25, 2020.
- F7These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.
- F8On February 26, 2018, Mr. Cardoza was granted 192,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.