Form Type: 4

SEC EDGAR Link
Accession Number:0001077183-19-000166
Date:2019-09-06
Issuer: NEOGENOMICS INC (NEO)
Original Submission Date:

Reporting Person:

JONES STEVEN C
12701 COMMONWEALTH DRIVE SUITE 9
FORT MYERS, FL 33913

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-09-06 S 1,691 d $25.00 1,676,233 indirect f1
COMMON STOCK 2019-09-09 S 3 d $25.00 1,676,230 indirect f1
COMMON STOCK 2019-09-10 S 1,200 d $21.47 46,457 indirect
COMMON STOCK 2019-09-10 G 3,400 d $0.00 43,057 indirect
COMMON STOCK 2019-09-06 0 $0.00 150,000 indirect
COMMON STOCK 2019-09-06 0 $0.00 245,234 direct
COMMON STOCK 2019-09-06 0 $0.00 50,476 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 4.78 2019-09-06 deemed execution date 0 ( ) 2016-05-04 2020-05-04 common stock 225,000 $4.78 225,000 direct
STOCK OPTION (RIGHT TO BUY) 7.15 2019-09-06 deemed execution date 0 ( ) 2017-04-20 2021-04-20 common stock 100,000 $7.15 100,000 direct
STOCK OPTION (RIGHT TO BUY) 7.27 2019-09-06 deemed execution date 0 ( ) 2018-05-25 2022-05-25 common stock 10,000 $7.27 10,000 direct
STOCK OPTION (RIGHT TO BUY) 11.6 2019-09-06 deemed execution date 0 ( ) 2019-06-01 2023-06-01 common stock 3,017 $11.60 3,017 direct
STOCK OPTION (RIGHT TO BUY) 22.52 2019-09-06 deemed execution date 0 ( ) 2020-06-06 2026-06-06 common stock 4,269 $22.52 4,269 direct
Footnotes
IDfootnote
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 may 4, 2015, mr. jones was granted 225,000 stock options. the options vest ratably over the first three anniversary dates of the grant date.
f3 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.
f4 on may 25, 2017, mr. jones was granted 10,000 stock options. the options vest ratably on the next three anniversary dates of the grant date.
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