| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NEOGENOMICS INC [ NEO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/30/2019 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 43,057 | I | Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones | |||||||
| Common Stock | 50,476 | I | By Jones Network, LP | |||||||
| Common Stock | 150,000 | I | By self as Trustee for Steven and Carisa Jones 401k and Trust | |||||||
| Common Stock | 195,234 | D | ||||||||
| Common Stock | 12/30/2019 | M | 100,000 | A | $4.78 | 1,625,000 | I | By Aspen Select Opportunity Fund(1) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $4.78 | 12/30/2019 | J(2) | 225,000 | 05/04/2016(3) | 05/04/2020 | Common Stock | 225,000 | $0 | 0 | D | ||||
| Stock Option (Right to Buy) | $4.78 | 12/30/2019 | J(2) | 225,000 | 05/04/2016(3) | 05/04/2020 | Common Stock | 225,000 | $0 | 225,000 | I | By Aspen Select Opportunity Fund(1) | |||
| Stock Option (Right to Buy) | $4.78 | 12/30/2019 | M | 100,000 | 05/04/2016(3) | 05/04/2020 | Common Stock | 100,000 | $0 | 125,000 | I | By Aspen Select Opportunity Fund(1) | |||
| Stock Option (Right to Buy) | $7.15 | 12/30/2019 | J(2) | 100,000 | 04/20/2017(4) | 04/20/2021 | Common Stock | 100,000 | $0 | 0 | D | ||||
| Stock Option (Right to Buy) | $7.15 | 12/30/2019 | J(2) | 100,000 | 04/20/2017(4) | 04/20/2021 | Common Stock | 100,000 | $0 | 100,000 | I | By Aspen Select Opportunity Fund(1) | |||
| Stock Option (Right to Buy) | $7.27 | 05/25/2018(5) | 05/25/2022 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Stock Option (Right to Buy) | $11.6 | 06/01/2019 | 06/01/2023 | Common Stock | 3,017 | 3,017 | D | ||||||||
| Stock Option (Right to Buy) | $22.52 | 06/06/2020 | 06/06/2026 | Common Stock | 4,269 | 4,269 | D | ||||||||
| Explanation of Responses: |
| 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 December 30, 2019, Mr. Jones transferred this option to Aspen Select Opportunity Fund, LP as part of estate planning activities. |
| 3. On May 4, 2015, Mr. Jones was granted 225,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. |
| 4. 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. |
| 5. On May 25, 2017, Mr. Jones was granted 10,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. |
| Remarks: |
| /s/ Steven Jones | 01/02/2020 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||