4: Statement of changes in beneficial ownership of securities
Published on March 3, 2022
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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 | ||||||||
Stock Option (Right to Buy) | $ 7.52 | (3) | 04/28/2022 | Common Stock | 50,000.00 | 50,000 | D | ||||||||
Stock Option (Right to Buy) | $ 8.03 | (4) | 02/26/2023 | Common Stock | 192,500.00 | 192,500 | D | ||||||||
Stock Option (Right to Buy) | $ 19.60 | (5) | 03/01/2024 | Common Stock | 51,459.00 | 51,459 | D | ||||||||
Stock Option (Right to Buy) | $ 28.33 | (6) | 03/02/2027 | Common Stock | 48,768.00 | 48,768 | D | ||||||||
Stock Option (Right to Buy) | $ 53.17 | (7) | 03/02/2028 | Common Stock | 35,171.00 | 35,171 | D | ||||||||
Stock Option (Right to Buy) | $ 43.95 | (8) | 07/05/2028 | Common Stock | 40,502.00 | 40,502 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARDOZA GEORGE 9490 NEOGENOMICS WAY FORT MYERS, FL 33912 |
President & COO, Lab Ops |
Signatures
/s/ Halley E. Gilbert, Attorney-in-Fact | 03/03/2022 | |
**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) | Shares surrendered to NeoGenomics Inc. for retirement to satisfy the tax obligations in connection with the March 1, 2022 vesting of restricted stock. |
(2) | Shares surrendered to NeoGenomics Inc. for retirement to satisfy the tax obligations in connection with the March 2, 2022 vesting of restricted stock. |
(3) | On April 28, 2017, Mr. Cardoza was granted 200,000 stock options. These options vested ratably over the first three anniversary dates of the grant date. |
(4) | On February 26, 2018, Mr. Cardoza was granted 192,500 stock options. These options vested ratably over the first three anniversary dates of the grant date. |
(5) | On March 1, 2019, Mr. Cardoza was granted 51,459 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
(6) | On March 2, 2020, Mr. Cardoza was granted 48,768 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
(7) | On March 2, 2021, Mr. Cardoza was granted 35,171 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
(8) | On July 5, 2021, Mr. Cardoza was granted 40,502 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
Remarks: Exhibit List: Exhibit 24 - Limited Power Of Attorney |