NEOGENOMICS INC — Director's Dealing 2020

Dec 14, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NEOGENOMICS INC (NEO)
CIK: 0001077183
Period of Report: 2020-12-10

Reporting Person: JONES STEVEN C (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-10	Common Stock	S	20000	$50.30	Disposed	1050000	Indirect
2020-12-11	Common Stock	S	25000	$50.52	Disposed	1025000	Indirect
2020-12-14	Common Stock	S	25000	$51.67	Disposed	1000000	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	125000	Indirect
Common Stock	30476	Indirect
Common Stock	40757	Indirect
Common Stock	72932	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$7.15	2021-04-20	Common Stock (100000.0)	100000	Indirect
Stock Option (Right to Buy)	$7.27	2022-05-25	Common Stock (10000.0)	10000	Direct
Stock Option (Right to Buy)	$11.6	2023-06-01	Common Stock (3017.0)	3017	Direct
Stock Option (Right to Buy)	$22.52	2026-06-06	Common Stock (4269.0)	4269	Direct
Stock Option (Right to Buy)	$28.54	2027-05-28	Common Stock (3448.0)	3448	Direct

Footnotes

F1: Aspen Select Opportunity Fund is a private investment fund of which Aspen Capital Group, LLC is the sole general partner. Mr. Jones is a Managing Member of Aspen Capital Group, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.

F2: On April 20, 2016, Mr. Jones was granted 100,000 stock options. The options vested ratably over the first three anniversary dates of the grant date. On December 30, 2019, Mr. Jones transferred these options to Aspen Select Opportunity Fund, LP.

F3: On May 25, 2017, Mr. Jones was granted 10,000 stock options. The options vested ratably over the first three anniversary dates of the grant date.