4//SEC Filing
JONES STEVEN C 4
Accession 0001077183-21-000053
CIK 0001077183other
Filed
Jan 10, 7:00 PM ET
Accepted
Jan 11, 5:24 PM ET
Size
21.7 KB
Accession
0001077183-21-000053
Insider Transaction Report
Form 4
JONES STEVEN C
DirectorExecutive VP of Finance10% Owner
Transactions
- Exercise/Conversion
Stock Option (Right to Buy)
2021-01-07−3,017→ 0 totalExercise: $11.60From: 2019-06-01Exp: 2023-06-01→ Common Stock (3,017 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2021-01-07−4,269→ 0 totalExercise: $22.52From: 2020-06-06Exp: 2026-06-06→ Common Stock (4,269 underlying) - Exercise/Conversion
Common Stock
2021-01-07$7.15/sh+100,000$715,000→ 1,100,000 total(indirect: By Aspen Select Opportunity Fund) - Exercise/Conversion
Common Stock
2021-01-07$7.27/sh+10,000$72,700→ 82,932 total - Exercise/Conversion
Common Stock
2021-01-07$11.60/sh+3,017$34,997→ 85,949 total - Exercise/Conversion
Common Stock
2021-01-07$22.52/sh+4,269$96,138→ 90,218 total - Exercise/Conversion
Stock Option (Right to Buy)
2021-01-07−100,000→ 0 total(indirect: By Aspen Select Opportunity Fund)Exercise: $7.15Exp: 2021-04-20→ Common Stock (100,000 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2021-01-07−10,000→ 0 totalExercise: $7.27Exp: 2022-05-25→ Common Stock (10,000 underlying)
Holdings
- 125,000(indirect: By Trust)
Common Stock
- 30,476(indirect: By Jones Network, LP)
Common Stock
- 40,757(indirect: By Trust)
Common Stock
- 3,448
Stock Option (Right to Buy)
Exercise: $28.54From: 2021-05-28Exp: 2027-05-28→ Common Stock (3,448 underlying)
Footnotes (4)
- [F1]This filing relates to the exercise of a stock option. No shares of Common Stock were sold by the Mr. Jones, and the shares of Common Stock received upon exercise of the stock option are subject to a lock-up agreement with BofA Securities, Inc, .Morgan Stanley & Co. LLC and Goldman Sachs & Co. LLC.
- [F2]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.
- [F3]On April 20, 2016, Mr. Jones was granted 100,000 stock options. The options vested ratably over the first three anniversary dates of the grant date. On December 30, 2019, Mr. Jones transferred these options to Aspen Select Opportunity Fund, LP.
- [F4]On May 25, 2017, Mr. Jones was granted 10,000 stock options. The options vested ratably over the first three anniversary dates of the grant date.
Documents
Issuer
NEOGENOMICS INC
CIK 0001077183
Entity typeother
Related Parties
1- filerCIK 0001518732
Filing Metadata
- Form type
- 4
- Filed
- Jan 10, 7:00 PM ET
- Accepted
- Jan 11, 5:24 PM ET
- Size
- 21.7 KB