SEC Form 4 · accession 0001628280-18-006899
NEOGENOMICS INC · NEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Balliet
Officer — VP and Chief Culture Officer
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 3:35 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 | May 15, 2018 | M | 13,000 | $4.78 | A | 13,000 | D | |
| Common Stock | May 15, 2018 | S | 6,500 | $11.21 | D | 6,500 | D | |
| Common Stock | May 15, 2018 | S | 6,500 | $11.26 | D | 0 | 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 | $4.78 | May 15, 2018 | M | 13,000 | D | May 4, 2016 | May 4, 2020 | Common Stock | 13,000 | 100,000 | D |
| Stock Option (Right to Buy)F2 | $7.15 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2021 | Common Stock | 50,000 | 50,000 | D |
| Restricted StockF3,F4,F5 | $0.00 | holding | — | — | — | May 25, 2018 | — | Common Stock | 20,000 | 20,000 | D |
| Stock Option (Right to Buy)F6 | $8.03 | holding | — | — | — | Feb 26, 2019 | Feb 26, 2023 | Common Stock | 72,500 | 72,500 | D |
| Stock Option (Right to Buy)F7 | $7.52 | holding | — | — | — | Apr 28, 2018 | Apr 28, 2022 | Common Stock | 60,000 | 60,000 | D |
Explanation of responses
- F1On May 4, 2015, Jennifer Balliet was granted 120,000 stock options,these options vest ratably over the first three anniversary dates of the grant date. On March 26, 2018, 7,000 of these options were exercised leaving a balance of 113,000 options.
- F2On April 20, 2016, Jennifer Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- F3Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- F4Restricted stock will vest as follows; 6,666 units will vest on May 25, 2018 and 6,667 units will vest on May 25, 2019 and 2020.
- F5These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.
- F6On February 26, 2018, Jennifer Balliet was granted 72,500 stock options which vested ratably over the first three anniversary dates of the grant date.
- F7On April 28, 2017, Jennifer Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.