0001077183-21-000053.txt : 20210111 0001077183-21-000053.hdr.sgml : 20210111 20210111172453 ACCESSION NUMBER: 0001077183-21-000053 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210107 FILED AS OF DATE: 20210111 DATE AS OF CHANGE: 20210111 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: 21521687 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_161040387992653.xml FORM 4 X0306 4 2021-01-07 0 0001077183 NEOGENOMICS INC NEO 0001518732 JONES STEVEN C 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS FL 33913 1 0 0 0 Common Stock 125000 I By self as Trustee for Steven and Carisa Jones 401k and Trust Common Stock 30476 I By Jones Network, LP Common Stock 40757 I Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones Common Stock 2021-01-07 4 M 0 100000 7.15 A 1100000 I By Aspen Select Opportunity Fund Common Stock 2021-01-07 4 M 0 10000 7.27 A 82932 D Common Stock 2021-01-07 4 M 0 3017 11.60 A 85949 D Common Stock 2021-01-07 4 M 0 4269 22.52 A 90218 D Stock Option (Right to Buy) 7.15 2021-01-07 4 M 0 100000 0 D 2021-04-20 Common Stock 100000.0 0 I By Aspen Select Opportunity Fund Stock Option (Right to Buy) 7.27 2021-01-07 4 M 0 10000 0 D 2022-05-25 Common Stock 10000.0 0 D Stock Option (Right to Buy) 11.6 2021-01-07 4 M 0 3017 0 D 2019-06-01 2023-06-01 Common Stock 3017.0 0 D Stock Option (Right to Buy) 22.52 2021-01-07 4 M 0 4269 0 D 2020-06-06 2026-06-06 Common Stock 4269.0 0 D Stock Option (Right to Buy) 28.54 2021-05-28 2027-05-28 Common Stock 3448.0 3448 D 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. 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 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. 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. /s/ Steven Jones 2021-01-11