4: Statement of changes in beneficial ownership of securities
Published on May 29, 2018
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock (3) | $ 0 | 05/25/2018 | M | 65,680 | 05/25/2018(4) | (5) | Common Stock | 65,680.00 | $ 0 | 131,362 | D | ||||
Stock Option (Right to Buy | $ 7.15 | 04/20/2017(6) | 04/20/2021 | Common Stock | 472,527.00 | 472,527 | D | ||||||||
Stock Option (Right to Buy) | $ 7.52 | 04/28/2018(7) | 04/28/2022 | Common Stock | 500,000.00 | 500,000 | D | ||||||||
Stock Option (Right to Buy) | $ 8.03 | 02/26/2019(8) | 02/26/2023 | Common Stock | 500,000.00 | 500,000 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VAN OORT DOUGLAS M 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS, FL 33913 |
Chairman and CEO |
Signatures
/s/ Douglas M. VanOort | 05/29/2018 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Shares withheld by NeoGenomics Inc. to satisfy the tax obligations in connection with the May 25, 2018 vesting of restricted stock. |
(2) | Conundrum Capital Partners, LLC is a limited liability partnership 50% owned by Mr. VanOort. Mr.VanOort is a managing partner of Conundrum Capital Partners, LLC. |
(3) | Each share of restricted stock represents the contingent right to receive one share of common stock upon vesting of the unit. |
(4) | Restricted stock will vest as follows; 65,680 shares vested on May 25, 2018 and 65,681 shares will vest on May 25, 2019 and 2020. |
(5) | The shares of restricted stock will terminate upon the earliest of death, termination of employment or the last vesting date. |
(6) | On April 20, 2016, Mr. VanOort was granted 472,527 stock options. These options vest ratably over the first three anniversary dates of the grant date. |
(7) | On April 28, 2017, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. |
(8) | On February 26, 2018, Mr. VanOort was granted 500,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. |