NEOGENOMICS INC — Director's Dealing 2020

Jan 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NEOGENOMICS INC (NEO)
CIK: 0001077183
Period of Report: 2019-12-30

Reporting Person: JONES STEVEN C (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-12-30	Common Stock	M	100000	$4.78	Acquired	1625000	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-12-30	Stock Option (Right to Buy)	$4.78	J	225000	Disposed	2020-05-04	Common Stock (225000.0)	Direct
2019-12-30	Stock Option (Right to Buy)	$4.78	J	225000	Acquired	2020-05-04	Common Stock (225000.0)	Indirect
2019-12-30	Stock Option (Right to Buy)	$4.78	M	100000	Disposed	2020-05-04	Common Stock (100000.0)	Indirect
2019-12-30	Stock Option (Right to Buy)	$7.15	J	100000	Disposed	2021-04-20	Common Stock (100000.0)	Direct
2019-12-30	Stock Option (Right to Buy)	$7.15	J	100000	Acquired	2021-04-20	Common Stock (100000.0)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	43057	Indirect
Common Stock	50476	Indirect
Common Stock	150000	Indirect
Common Stock	195234	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
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

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 December 30, 2019, Mr. Jones transferred this option to Aspen Select Opportunity Fund, LP as part of estate planning activities.

F3: On May 4, 2015, Mr. Jones was granted 225,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.

F4: On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.

F5: On May 25, 2017, Mr. Jones was granted 10,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.