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NEOGENOMICS INC — Director's Dealing 2018
May 17, 2018
32227_dirs_2018-05-17_79cacebf-184e-41cf-b7bb-e7ba9afeb62d.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: 2018-05-15
Reporting Person: BALLIET JENNIFER (VP and Chief Culture Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-15 | Common Stock | M | 13000 | $4.78 | Acquired | 13000 | Direct |
| 2018-05-15 | Common Stock | S | 6500 | $11.21 | Disposed | 6500 | Direct |
| 2018-05-15 | Common Stock | S | 6500 | $11.26 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-15 | Stock Option (Right to Buy) | $4.78 | M | 13000 | Disposed | 2020-05-04 | Common Stock (13000.0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $7.15 | 2021-04-20 | Common Stock (50000.0) | 50000 | Direct |
| Restricted Stock | $0.0 | Common Stock (20000.0) | 20000 | Direct | |
| Stock Option (Right to Buy) | $8.03 | 2023-02-26 | Common Stock (72500.0) | 72500 | Direct |
| Stock Option (Right to Buy) | $7.52 | 2022-04-28 | Common Stock (60000.0) | 60000 | Direct |
Footnotes
F1: On May 4, 2015, Jennifer Balliet was granted 120,000 stock options,these options vest ratably over the first three anniversary dates of the grant date. On March 26, 2018, 7,000 of these options were exercised leaving a balance of 113,000 options.
F2: On April 20, 2016, Jennifer Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
F3: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
F4: Restricted stock will vest as follows; 6,666 units will vest on May 25, 2018 and 6,667 units will vest on May 25, 2019 and 2020.
F5: These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.
F6: On February 26, 2018, Jennifer Balliet was granted 72,500 stock options which vested ratably over the first three anniversary dates of the grant date.
F7: On April 28, 2017, Jennifer Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.