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NEOGENOMICS INC — Director's Dealing 2019
Nov 13, 2019
32227_dirs_2019-11-13_3d5bff6c-e1fe-49ce-8677-0e540ad5b682.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: 2019-08-01
Reporting Person: VAN OORT DOUGLAS M (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-08-01 | Common Stock | F | 6090 | — | Disposed | 2010499 | Direct |
| 2019-11-08 | Common Stock | M | 472527 | $7.15 | Acquired | 2483026 | Direct |
| 2019-11-08 | Common Stock | F | 205635 | — | Disposed | 2277391 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-11-08 | Stock Option (Right to Buy | $7.15 | M | 472527 | Disposed | 2021-04-20 | Common Stock (472527.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 187500 | Indirect |
| Common Stock | 10000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 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 |
| Stock Option (Right to Buy) | $19.6 | 2024-03-01 | Common Stock (231567.0) | 231567 | Direct |
Footnotes
F1: 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.
F2: Shares withheld by NeoGenomics Inc. to satisfy the tax obligations in connection with the August 1, 2019 vesting of restricted stock
F3: Total reflects transactions which occurred on August 28 and 29, 2019 and reported on Form 4 on September 3, 2019.
F4: Shares withheld by NeoGenomics, Inc. for the cost of exercise and to satisfy the tax obligations in connection with the November 8, 2019 exercise of stock options.
F5: 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.
F6: 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.
F7: On February 26, 2018, Mr. VanOort was granted 636,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
F8: On March 1, 2019, Mr. VanOort was granted 231,567 stock options. These options vest ratably over the first four anniversary dates of the grant date.