Filing Details
- Accession Number:
- 0001209191-16-117178
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-05-03 20:38:44
- Reporting Period:
- 2016-04-20
- Filing Date:
- 2016-05-03
- Accepted Time:
- 2016-05-03 20:38:44
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1077183 | Neogenomics Inc | NEO | Services-Testing Laboratories (8734) | 742897368 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1518732 | C Steven Jones | 12701 Commonwealth Drive Suite 9 Fort Myers FL 33913 | Executive Vp Of Finance | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2016-05-02 | 177,745 | $8.21 | 3,150,000 | No | 4 | S | Indirect | By Aspen Select Healthcare LP |
Common Stock | Disposition | 2016-05-03 | 20,000 | $8.21 | 266,251 | No | 4 | G | Direct | |
Common Stock | Acquisiton | 2016-05-03 | 20,000 | $8.21 | 52,157 | No | 4 | G | Indirect | Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By Aspen Select Healthcare LP |
No | 4 | G | Direct | |
No | 4 | G | Indirect | Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | Acquisiton | 2016-04-20 | 100,000 | $7.15 | 100,000 | $7.15 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
100,000 | 2017-04-20 | 2021-04-20 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 50,476 | Indirect | By Jones Network, LP |
Common Stock | 190,000 | Indirect | By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Warrants (Right to Buy) | $1.50 | 2010-05-03 | 2017-05-03 | 450,000 | 450,000 | Direct |
Common Stock | Stock Option (Right to Buy) | $4.78 | 2016-05-04 | 2020-05-04 | 225,000 | 225,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-05-03 | 450,000 | 450,000 | Direct |
2020-05-04 | 225,000 | 225,000 | Direct |
Footnotes
- Aspen Select Healthcare, LP is a private investment fund. MedicalVenture Partners, LLC is the sole general partner of Aspen Select Healthcare, LP, and Mr. Jones is a Managing Member of Medical Venture Partners, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
- These shares are reflected both as a bona fide gift from Steven Jones and a bona fide gift to trust accounts for the immediate family of Steven Jones.
- Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
- On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
- On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.