NEOGENOMICS INC — Director's Dealing 2021

Jan 11, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NEOGENOMICS INC (NEO)
CIK: 0001077183
Period of Report: 2021-01-07

Reporting Person: JONES STEVEN C (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-01-07	Common Stock	M	100000	$7.15	Acquired	1100000	Indirect
2021-01-07	Common Stock	M	10000	$7.27	Acquired	82932	Direct
2021-01-07	Common Stock	M	3017	$11.60	Acquired	85949	Direct
2021-01-07	Common Stock	M	4269	$22.52	Acquired	90218	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-01-07	Stock Option (Right to Buy)	$7.15	M	100000	Disposed	2021-04-20	Common Stock (100000.0)	Indirect
2021-01-07	Stock Option (Right to Buy)	$7.27	M	10000	Disposed	2022-05-25	Common Stock (10000.0)	Direct
2021-01-07	Stock Option (Right to Buy)	$11.6	M	3017	Disposed	2023-06-01	Common Stock (3017.0)	Direct
2021-01-07	Stock Option (Right to Buy)	$22.52	M	4269	Disposed	2026-06-06	Common Stock (4269.0)	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)	$28.54	2027-05-28	Common Stock (3448.0)	3448	Direct

Footnotes

F1: This filing relates to the exercise of a stock option. No shares of Common Stock were sold by the Mr. Jones, and the shares of Common Stock received upon exercise of the stock option are subject to a lock-up agreement with BofA Securities, Inc, .Morgan Stanley & Co. LLC and Goldman Sachs & Co. LLC.

F2: 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.

F3: 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.

F4: 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.