0001077183-18-000117.txt : 20181114 0001077183-18-000117.hdr.sgml : 20181114 20181114193059 ACCESSION NUMBER: 0001077183-18-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181112 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JONES STEVEN C CENTRAL INDEX KEY: 0001518732 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35756 FILM NUMBER: 181185685 MAIL ADDRESS: STREET 1: 12701 COMMONWEALTH DRIVE STREET 2: SUITE 9 CITY: FORT MYERS STATE: FL ZIP: 33913 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEOGENOMICS INC CENTRAL INDEX KEY: 0001077183 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-TESTING LABORATORIES [8734] IRS NUMBER: 742897368 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12701 COMMONWEALTH DRIVE STREET 2: SUITE 9 CITY: FORT MYERS STATE: FL ZIP: 33913 BUSINESS PHONE: 9419231949 MAIL ADDRESS: STREET 1: 12701 COMMONWEALTH DRIVE STREET 2: SUITE 9 CITY: FORT MYERS STATE: FL ZIP: 33913 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN COMMUNICATIONS ENTERPRISES INC DATE OF NAME CHANGE: 19990120 4 1 wf-form4_154224184012849.xml FORM 4 X0306 4 2018-11-12 0 0001077183 NEOGENOMICS INC NEO 0001518732 JONES STEVEN C 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS FL 33913 1 1 0 0 Executive Vice President Common Stock 2018-11-12 4 S 0 100000 16.66 D 2200000 I By Aspen Select Opportunity Fund Common Stock 2018-11-13 4 S 0 31574 16.69 D 2168426 I By Aspen Select Opportunity Fund Common Stock 2018-11-14 4 S 0 3824 16.50 D 2164602 I By Aspen Select Opportunity Fund Common Stock 48657 I Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones Common Stock 241815 D Common Stock 50476 I By Jones Network, LP Common Stock 2018-11-13 4 S 0 4000 16.66 D 186000 I By self as Trustee for Steven and Carisa Jones 401k and Trust Common Stock 2018-11-14 4 S 0 1729 16.50 D 184271 I By self as Trustee for Steven and Carisa Jones 401k and Trust Stock Option (Right to Buy) 11.6 2019-06-01 2023-06-01 Common Stock 3017.0 3017 D Stock Option (Right to Buy) 4.78 2016-05-04 2020-05-04 Common Stock 225000.0 225000 D Stock Option (Right to Buy) 7.27 2018-05-25 2022-05-25 Common Stock 10000.0 10000 D Stock Option (Right to Buy) 7.15 2017-04-20 2021-04-20 Common Stock 100000.0 100000 D 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. 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. 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. 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. /s/ Steven Jones 2018-11-14