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NEOGENOMICS INC — Director's Dealing 2018
Mar 1, 2018
32227_dirs_2018-02-28_eea00fd6-968f-437c-adf9-7ecbd259205a.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: 2018-02-26
Reporting Person: CARDOZA GEORGE (Chief Financial Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-26 | Stock Options (Right to Buy) | $8.03 | A | 192500 | Acquired | 2023-02-26 | Common Stock (192500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 189089 | Direct |
| Common Stock | 20000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $3.45 | 2019-03-05 | Common Stock (30000) | 30000 | Direct |
| Stock Option (Right to Buy) | $4.78 | 2020-05-04 | Common Stock (200000) | 200000 | Direct |
| Stock Option (Right to Buy) | $7.15 | 2021-04-20 | Common Stock (200000) | 200000 | Direct |
| Stock Option (Right to Buy) | $7.52 | 2022-04-28 | Common Stock (200000) | 200000 | Direct |
| Restricted Stock | $0.00 | Common Stock (25000) | 25000 | Direct |
Footnotes
F1: On March 5, 2014 Mr. Cardoza was granted an option to purchase 30,000 shares. These options vest ratably over the first three anniversary dates of the grant.
F2: On May 4, 2015 Mr. Cardoza was granted an option to purchase 200,000 shares. These options vest ratably over the first three anniversary dates of the grant.
F3: On April 20, 2016, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
F4: On April 28, 2017, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over the next three anniversary dates of the grant date.
F5: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
F6: Restricted stock will vest as follows; 8,333 units will vest on May 25, 2018 and 2019 and 8,334 units will vest on May 25, 2020.
F7: These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.
F8: On February 26, 2018, Mr. Cardoza was granted 192,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.