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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 | ||||||||
Stock Option (Right to Buy) | $ 1.55 | 11/26/2014 | X | 130,000 | 11/30/2010(2) | 11/29/2014 | Common Stock | 0 | $ 1.55 | 0 | D | ||||
Stock Option (Right to buy) | $ 1.46 | 04/14/2012(3) | 04/13/2016 | Common Stock | 0 | 100,000 | D | ||||||||
Stock Option (Right to buy) | $ 3.45 | 03/05/2015(4) | 03/05/2019 | Common Stock | 0 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARDOZA GEORGE C/O NEOGENOMICS, INC. 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS, FL US 33913 |
Chief Financial Officer |
/s/ George Cardoza | 12/01/2014 | |
**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) | Exercise of stock options expiring on November 29, 2014, sale to effect cash-less exercise (net of tax). |
(2) | On November 30, 2009 Mr. Cardoza was granted an option to purchase 150,000 shares. The options were all time based and vested ratably over each of Mr. Cardoza's first four anniversaries with the Company. |
(3) | On April 14, 2011 Mr. Cardoza was granted an option to purchase 100,000 shares. These options vest ratably at the first four anniversary dates of the grant. |
(4) | On March 5, 2014 Mr. Cardoza was granted an option to purchase 30,000 shares. These options vest ratably at the first three anniversary dates of the grant. |