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NEOGENOMICS INC — Director's Dealing 2016
May 4, 2016
32227_dirs_2016-05-03_234af023-e2fb-4dc8-a351-f5139ac6a631.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: 2016-04-20
Reporting Person: JONES STEVEN C (Executive VP of Finance)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-05-02 | Common Stock | S | 177745 | $8.21 | Disposed | 3150000 | Indirect |
| 2016-05-03 | Common Stock | G | 20000 | $8.21 | Disposed | 266251 | Direct |
| 2016-05-03 | Common Stock | G | 20000 | $8.21 | Acquired | 52157 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-04-20 | Stock Option (Right to Buy) | $7.15 | A | 100000 | Acquired | 2021-04-20 | Common Stock (100000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 50476 | Indirect |
| Common Stock | 190000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants (Right to Buy) | $1.50 | 2017-05-03 | Common Stock (450000) | 450000 | Direct |
| Stock Option (Right to Buy) | $4.78 | 2020-05-04 | Common Stock (225000) | 225000 | Direct |
Footnotes
F1: Aspen Select Healthcare, LP is a private investment fund. Medical
Venture 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.
F2: 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.
F3: Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.
F4: 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.
F5: 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.