3: Initial statement of beneficial ownership of securities
Published on May 10, 2018
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Common Stock | 05/15/2018(1) | 05/15/2022 | Common Stock | 50,000 | $ 7.72 | D | |
Common Stock | 02/26/2019(2) | 02/26/2023 | Common Stock | 24,000 | $ 8.03 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BYWATER STEPHANIE K 12701 COMMONWEATLH DRIVE SUITE 9 FORT MYERS, FL 33913 |
Chief Compliance Officer |
Signatures
/s/ Stephanie Bywater | 05/10/2018 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On May 15, 2017, Ms. Bywater was granted options to purchase shares of NeoGenomics, Inc. common stock. The options vest ratably over the first three anniversary dates of the grant date. |
(2) | On February 26, 2018, Ms. Bywater was granted options to purchase shares of NeoGenomics, Inc. common stock. The options vest ratably over the first three anniversary dates of the grant date. |