3/A: Initial statement of beneficial ownership of securities
Published on September 7, 2022
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 | ||||
Stock Option (Right to Buy) | (2) | 04/01/2029 | Common Stock | 132,744 (3) | $ 12.15 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kulkarni Shashikant 9490 NEOGENOMICS WAY FORT MYERS, FL 33912 |
President of Lab Operations |
Signatures
/s/ Ali Olivo, Attorney-in-Fact | 09/07/2022 | |
**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) | This Amended Form 3 reflects an additional 20,576 restricted stock awards granted on April 1, 2022 that were omitted due to administrative error on the original Form 3 filed on July 15, 2022 and the subsequent Form 4 filed on August 3, 2022. |
(2) | On April 1, 2022, Dr. Kulkarni was granted 132,744 stock options. These options vest ratably over the first four anniversary dates of the grant date. |
(3) | This Amended Form 3 reflects an additional 44,248 stock options granted on April 1, 2022 that were omitted due to administrative error on the original Form 3 filed on July 15, 2022 and the subsequent Form 4 filed on August 3, 2022. |