5: Annual statement of changes in beneficial ownership of securities
Published on February 8, 2022
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Stock Option (Right to Buy) | $ 9.22 | (2) | 04/19/2023 | Common Stock | 6,667 | |||||||||
Stock Option (Right to Buy) | $ 13.87 | (3) | 12/12/2023 | Common Stock | 8,334 | |||||||||
Stock Option (Right to Buy) | $ 20.83 | (4) | 05/01/2026 | Common Stock | 7,153 | |||||||||
Stock Option (Right to Buy) | $ 27.34 | (5) | 05/01/2027 | Common Stock | 7,879 | |||||||||
Stock Option (Right to Buy) | $ 48.99 | (6) | 05/01/2028 | Common Stock | 8,595 | |||||||||
Stock Option (Right to Buy) | $ 43.95 | (7) | 07/05/2028 | Common Stock | 10,126 |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wallar Gina M 9490 NEOGENOMICS WAY FORT MYERS, FL 33912 |
President, Pharma Services |
Signatures
/s/ Gina M. Wallar | 02/08/2022 | |
**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) | These shares were acquired pursuant to NeoGenomics's Employee Stock Purchase Plan (ESPP) during the year ended December 31, 2021. The shares were acquired in transactions exempt from Section 16b-3. |
(2) | On April 19, 2018, Ms. Wallar was granted 20,000 stock options. The options vested ratably over the first three anniversary dates of the grant date. |
(3) | On December 12, 2018, Ms. Wallar was granted 25,000 stock options. The options vested ratably over the first three anniversary dates of the grant date. |
(4) | On May 1, 2019, Ms. Wallar was granted 9,537 stock options. The options vest ratably over the first four anniversary dates of the grant date. |
(5) | On May 1, 2020, Ms. Wallar was granted 7,879 stock options. The options vest ratably over the first four anniversary dates of the grant date. |
(6) | On May 1, 2021, Ms. Wallar was granted 8,595 stock options. The options vest ratably over the first four anniversary dates of the grant date. |
(7) | On July 5, 2021, Ms. Wallar was granted 10,126 stock options. The options vest ratably over the first four anniversary dates of the grant date. |