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NEOGENOMICS INC — Director's Dealing 2014
May 27, 2014
32227_dirs_2014-05-27_b9381c7f-a425-420e-a4e2-c434d566fa1b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NEOGENOMICS INC (NEO)
CIK: 0001077183
Period of Report: 2014-05-22
Reporting Person: GASPARINI ROBERT P (Chief Science Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-22 | Common Stock | X | 100000 | $0.25 | Acquired | 108439 | Direct |
| 2014-05-22 | Common Stock | S | 100000 | $3.4916 | Disposed | 8439 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-05-22 | Stock Option (Right to buy) | $0.25 | X | 100000 | Disposed | 2015-01-03 | Common Stock (0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to buy) | $1.47 | 2017-02-13 | Common Stock (0) | 100000 | Direct |
| Stock Option (Right to buy) | $0.8 | 2015-03-12 | Common Stock (0) | 584000 | Direct |
| Stock Option (Right to Buy) | $0.62 | 2016-02-01 | Common Stock (0) | 150000 | Direct |
Footnotes
F1: On March 12, 2008 Mr. Gasparini was granted an option to puchase 784,000 shares. The first vesting and exercisable date was March 12, 2008. On this date 24,000 options vested and then there was to be 45 additional monthly vesting of 8,000 shares for a total of 384,000 options. Included in this grant were 400,000 non-qualified options with an initial vesting on March 12, 2008. From this grant 200,000 options were cancelled. Of the remaining 200,000 non-qualified options 200,000 are vested and exercisable.
F2: On February 2, 2009 Mr. Gasparini was granted an option to purchase 200,000 shares. These were performance options which vest based on various milestones. To date 150,000 shares are vested and exercisable and 50,000 shares have been cancelled.