NEOGENOMICS INC — Director's Dealing 2020

Oct 1, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NEOGENOMICS INC (NEO)
CIK: 0001077183
Period of Report: 2020-09-28

Reporting Person: JONES STEVEN C (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-28	Common Stock	S	38951	$36.34	Disposed	1341049	Indirect
2020-09-29	Common Stock	S	141049	$36.95	Disposed	1200000	Indirect
2020-09-28	Common Stock	S	19000	$36.56	Disposed	178932	Direct
2020-09-29	Common Stock	S	81000	$36.55	Disposed	97932	Direct
2020-09-29	Common Stock	G	25000	—	Disposed	72932	Direct

Holdings (Non-Derivative)

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

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.

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.