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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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) |
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 | ||||||||
Warrants (Right to Buy) | $ 1.43 | 08/19/2016 | X | 200,000 | 05/09/2014(3) | 01/09/2017 | Common Stock | 200,000 | $ 1.43 | 0 | D | ||||
Stock Option (Right to Buy) | $ 3.45 | 08/19/2016 | X | 20,000 | 03/05/2015(4) | 03/05/2019 | Common Stock | 20,000 | $ 3.45 | 10,000 | D | ||||
Stock Option (Right to Buy) | $ 4.78 | 08/19/2016 | X | 100,000 | 05/05/2016(5) | 05/05/2020 | Common Stock | 100,000 | $ 4.78 | 200,000 | D | ||||
Stock Option (Right to Buy) | $ 1.43 | 08/19/2016 | X | 250,000 | 01/09/2013(6) | 01/09/2017 | Common Stock | 250,000 | $ 1.43 | 0 | D | ||||
Stock Option (Right to Buy) | $ 7.15 | 04/20/2017(7) | 04/20/2021 | Common Stock | 200,000 | 200,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ALBITAR MAHER 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS, FL 33913 |
Chief Medical Officer |
/s/ Maher Albitar | 08/23/2016 | |
**Signature of Reporting Person | Date |
* | 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 cost of shares in connection with the August 19, 2016 warrant exercise. |
(2) | Closing stock price on date of exercise, August 19, 2016. |
(3) | These warrants were issued to Dr. Albitar upon the start of his service to the Company and vest upon the achievement of certain milestones. |
(4) | On March 5, 2014 Dr. Albitar was granted 30,000 stock options. The options vest ratably over the first three anniversary dates of the grant date. |
(5) | On May 5, 2015 Dr. Albitar was granted 300,000 stock options. The options vest ratably over the first three anniversary dates of the grant date. |
(6) | These stock options were granted upon the start of Dr. Albitar's service to the Company and vest ratably over each of his first four anniversaries with the Company. |
(7) | On April 20, 2016, Dr. Albitar was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. |