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Filing Details

Accession Number:
0001077183-19-000166
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-09-10 20:32:06
Reporting Period:
2019-09-06
Accepted Time:
2019-09-10 20:32:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1077183 Neogenomics Inc NEO Services-Testing Laboratories (8734) 742897368
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1518732 C Steven Jones 12701 Commonwealth Drive Suite 9
Fort Myers FL 33913
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2019-09-06 1,691 $25.00 1,676,233 No 4 S Indirect By Aspen Select Opportunity Fund
Common Stock Disposition 2019-09-09 3 $25.00 1,676,230 No 4 S Indirect By Aspen Select Opportunity Fund
Common Stock Disposition 2019-09-10 1,200 $21.47 46,457 No 4 S Indirect Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones
Common Stock Disposition 2019-09-10 3,400 $0.00 43,057 No 5 G Indirect Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Aspen Select Opportunity Fund
No 4 S Indirect By Aspen Select Opportunity Fund
No 4 S Indirect Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones
No 5 G Indirect Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 150,000 Indirect By self as Trustee for Steven and Carisa Jones 401k and Trust
Common Stock 245,234 Direct
Common Stock 50,476 Indirect By Jones Network, LP
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $4.78 2016-05-04 2020-05-04 225,000 225,000 Direct
Common Stock Stock Option (Right to Buy) $7.15 2017-04-20 2021-04-20 100,000 100,000 Direct
Common Stock Stock Option (Right to Buy) $7.27 2018-05-25 2022-05-25 10,000 10,000 Direct
Common Stock Stock Option (Right to Buy) $11.60 2019-06-01 2023-06-01 3,017 3,017 Direct
Common Stock Stock Option (Right to Buy) $22.52 2020-06-06 2026-06-06 4,269 4,269 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-05-04 225,000 225,000 Direct
2021-04-20 100,000 100,000 Direct
2022-05-25 10,000 10,000 Direct
2023-06-01 3,017 3,017 Direct
2026-06-06 4,269 4,269 Direct
Footnotes
  1. Aspen Select Opportunity Fund is a private investment fund of which Aspen Capital Group, LLC is the sole general partner. Mr. Jones is a Managing Member of Aspen Capital Group, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein.
  2. On May 4, 2015, Mr. Jones was granted 225,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
  3. On April 20, 2016, Mr. Jones was granted 100,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
  4. On May 25, 2017, Mr. Jones was granted 10,000 stock options. The options vest ratably on the next three anniversary dates of the grant date.