Accession Number: | 0001077183-19-000166 |
Date: | 2019-09-06 |
Issuer: | NEOGENOMICS INC (NEO) |
Original Submission Date: |
JONES STEVEN C
12701 COMMONWEALTH DRIVE SUITE 9
FORT MYERS, FL 33913
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |