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