Filing Details
- Accession Number:
- 0001209191-17-038136
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-06 16:39:02
- Reporting Period:
- 2017-06-02
- Filing Date:
- 2017-06-06
- Accepted Time:
- 2017-06-06 16:39:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1591976 | A Steven Ross | 12701 Commonwealth Drive Suite 9 Fort Myers FL 33913 | Cio | 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 | Acquisiton | 2017-06-02 | 37,500 | $3.93 | 42,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-02 | 33,333 | $4.78 | 75,333 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-06-02 | 15,000 | $7.63 | 60,333 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-02 | 10,000 | $7.79 | 50,333 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-05 | 45,833 | $7.79 | 4,500 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to buy) | Disposition | 2017-06-02 | 37,500 | $3.93 | 37,500 | $3.93 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-06-02 | 33,333 | $4.78 | 67,000 | $4.78 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-04-22 | 2018-04-22 | No | 4 | X | Direct |
| 33,667 | 2016-05-06 | 2020-05-06 | No | 4 | X | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,500 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $7.15 | 2017-04-20 | 2021-04-20 | 40,000 | 40,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $7.52 | 2018-04-28 | 2022-04-28 | 65,000 | 65,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-04-20 | 40,000 | 40,000 | Direct |
| 2022-04-28 | 65,000 | 65,000 | Direct |
Footnotes
- On April 20, 2016, Mr. Ross was granted 40,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
- On April 22, 2013, Mr. Ross was granted 150,000 stock options to purchase common stock of the Company. These options vest ratably on each of the next 4 anniversary dates of the grant date.
- On May 6, 2015, Mr. Ross was granted 100,000 stock options to purchase common stock of the Company. These options vest ratably on each of the first three anniversary dates of the grant date. On May 9, 2016, Mr. Ross exercised 15,000 of these options leaving a balance of 85,000 options and on May 18, 2016, Mr. Ross exercised 18,000 of these options leaving a balance of 67,000 options. On June 2, 2017, Mr. Ross exercised 33,333 of these options leaving a balance of 33,667 options.
- On April 28, 2017, Mr. Ross was granted 65,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
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