4: Statement of changes in beneficial ownership of securities
Published on December 30, 2021
|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 7.52 | (2) | 04/28/2022 | Common Stock | 7,000.00 | 7,000 | D | ||||||||
Stock Option (Right to Buy) | $ 8.03 | (3) | 02/26/2023 | Common Stock | 33,334.00 | 33,334 | D | ||||||||
Stock Option (Right to Buy) | $ 19.60 | (4) | 03/01/2024 | Common Stock | 17,496.00 | 17,496 | D | ||||||||
Stock Option (Right to Buy) | $ 28.33 | (5) | 03/02/2027 | Common Stock | 15,006.00 | 15,006 | D | ||||||||
Stock Option (Right to Buy) | $ 53.17 | (6) | 03/02/2028 | Common Stock | 10,551.00 | 10,551 | D | ||||||||
Stock Option (Right to Buy) | $ 43.95 | (7) | 07/05/2028 | Common Stock | 4,050.00 | 4,050 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BALLIET JENNIFER 9490 NEOGENOMICS WAY FORT MYERS, FL 33912 |
VP and Chief Culture Officer |
Signatures
/s/Jennifer Balliet | 12/30/2021 | |
**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) | On December 30, 2021, Ms. Balliet was granted 21,400 restricted stock awards. These awards vest ratably over three years with the first tranche vesting on December 31, 2022. |
(2) | On April 28, 2017, Ms. Balliet was granted 60,000 stock options. These options vested ratably over the first three anniversaries of the grant date. |
(3) | On February 26, 2018, Ms. Balliet was granted 72,500 stock options. These options vested ratably over the first three anniversary dates of the grant date. |
(4) | On March 1, 2019, Ms. Balliet was granted 17,496 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
(5) | On March 2, 2020, Ms. Balliet was granted 15,006 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
(6) | On March 2, 2021, Ms. Balliet was granted 10,551 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
(7) | On July 5, 2021, Ms. Balliet was granted 4,050 stock options. These options vest ratably over the first four anniversary dates of the grant date. |