0001209191-17-042170.txt : 20170628 0001209191-17-042170.hdr.sgml : 20170628 20170628180928 ACCESSION NUMBER: 0001209191-17-042170 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170627 FILED AS OF DATE: 20170628 DATE AS OF CHANGE: 20170628 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 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: 17936387 MAIL ADDRESS: STREET 1: 12701 COMMONWEALTH DRIVE STREET 2: SUITE 9 CITY: FORT MYERS STATE: FL ZIP: 33913 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-06-27 0 0001077183 NEOGENOMICS INC NEO 0001518732 JONES STEVEN C 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS FL 33913 0 1 0 0 Executive Vice President Common Stock 3150000 I By Aspen Select Oppurtunity Fund Common Stock 246251 D Common Stock 50476 I By Jones Network, LP Common Stock 52157 I Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones Common Stock 2017-06-27 4 J 0 190000 D 190000 I By self as Trustee for Steven and Carisa Jones Defined Benefit Plan and Trust Common Stock 2017-06-27 4 J 0 190000 A 190000 I By self as Trustee for Steven and Carisa Jones 401k and Trust Stock Option (Right to Buy) 4.78 2016-05-04 2020-05-04 Common Stock 225000 225000 D Stock Option (Right to Buy) 7.15 2017-04-20 2021-04-20 Common Stock 100000 100000 D Stock Option 7.27 2018-05-25 2022-05-25 Common Stock 10000 10000 D Restricted Stock 0.00 2017-06-30 Common Stock 8667 8667 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. Transaction represents non-market transfer from Steven and Carisa Jones Defined Benefit Plan to Steven and Carisa Jones 401k Plan and Trust 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 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. 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. Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit. The restricted stock will vest as follows; 2,166 units at June 30, 2017 and thereafter, 2,167 shares will vest on the last day of each calendar quarter for the next three fiscal quarters up to March 31, 2018. These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date. /s/ Steven Jones 2017-06-28