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NEOGENOMICS INC — Director's Dealing 2018
May 30, 2018
32227_dirs_2018-05-29_3a49bf8f-a9d0-4c6f-b46e-49aa0b2121a6.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: 2018-05-25
Reporting Person: VAN OORT DOUGLAS M (Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-25 | Common Stock | M | 65680 | — | Acquired | 1898665 | Direct |
| 2018-05-25 | Common Stock | F | 21904 | $11.57 | Disposed | 1876761 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-25 | Restricted Stock | $0.0 | M | 65680 | Disposed | Common Stock (65680.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 187500 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy | $7.15 | 2021-04-20 | Common Stock (472527.0) | 472527 | Direct |
| Stock Option (Right to Buy) | $7.52 | 2022-04-28 | Common Stock (500000.0) | 500000 | Direct |
| Stock Option (Right to Buy) | $8.03 | 2023-02-26 | Common Stock (500000.0) | 500000 | Direct |
Footnotes
F1: Shares withheld by NeoGenomics Inc. to satisfy the tax obligations in connection with the May 25, 2018 vesting of restricted stock.
F2: Conundrum Capital Partners, LLC is a limited liability partnership 50% owned by Mr. VanOort. Mr.VanOort is a managing partner of Conundrum Capital Partners, LLC.
F3: Each share of restricted stock represents the contingent right to receive one share of common stock upon vesting of the unit.
F4: Restricted stock will vest as follows; 65,680 shares vested on May 25, 2018 and 65,681 shares will vest on May 25, 2019 and 2020.
F5: The shares of restricted stock will terminate upon the earliest of death, termination of employment or the last vesting date.
F6: On April 20, 2016, Mr. VanOort was granted 472,527 stock options. These options vest ratably over the first three anniversary dates of the grant date.
F7: On April 28, 2017, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
F8: On February 26, 2018, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.