Alicia C. Olivo - 17 Nov 2023 Form 4 Insider Report for NEOGENOMICS INC (NEO)

Role
General Counsel
Signature
/s/ Alicia C. Olivo
Issuer symbol
NEO
Transactions as of
17 Nov 2023
Net transactions value
-$49,083
Form type
4
Filing time
20 Nov 2023, 16:33:57 UTC
Previous filing
03 Oct 2023
Next filing
20 Feb 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NEO Common Stock Sale $49,083 -2,669 -6.7% $18.39 37,140 17 Nov 2023 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding NEO Stock Option (Right to Buy) 1,046 17 Nov 2023 Common Stock 1,046 $19.12 Direct F2
holding NEO Stock Option (Right to Buy) 1,024 17 Nov 2023 Common Stock 1,024 $27.34 Direct F3
holding NEO Stock Option (Right to Buy) 516 17 Nov 2023 Common Stock 516 $48.99 Direct F4
holding NEO Stock Option (Right to Buy) 1,117 17 Nov 2023 Common Stock 1,117 $46.10 Direct F5
holding NEO Stock Option (Right to Buy) 22,222 17 Nov 2023 Common Stock 22,222 $9.45 Direct F6
holding NEO Stock Option (Right to Buy) 55,332 17 Nov 2023 Common Stock 55,332 $10.05 Direct F7
holding NEO Stock Option (Right to Buy) 36,508 17 Nov 2023 Common Stock 36,508 $19.65 Direct F8
holding NEO Restricted Stock Unit 19,508 17 Nov 2023 Common Stock 19,508 $0.000000 Direct F9, F10
holding NEO Performance Stock Unit 19,508 17 Nov 2023 Common Stock 19,508 $0.000000 Direct F10, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 This balance includes 311 shares that were acquired pursuant to NeoGenomics's Employee Stock Purchase Plan (ESPP) since the date of the reporting person's last filing. The shares were acquired in transactions exempt from Section 16b-3.
F2 On September 30, 2019, Ms. Olivo was granted 1,394 stock options. The options vested ratably over the first four anniversary dates of the grant date.
F3 On May 1, 2020, Ms. Olivo was granted 1,024 stock options. The options vest ratably over the first four anniversary dates of the grant date.
F4 On May 1, 2021, Ms. Olivo was granted 516 stock options. The options vest ratably over the first four anniversary dates of the grant date.
F5 On August 1, 2021, Ms. Olivo was granted 1,117 stock options. The options vest ratably over the first four anniversary dates of the grant date.
F6 On May 1, 2022, Ms. Olivo was granted 22,222 stock options. The options vest ratably over the first four anniversary dates of the grant date.
F7 On September 1, 2022, Ms. Olivo was granted 55,332 stock options. The options vest ratably over the first four anniversary dates of the grant date.
F8 On May 11, 2023, Ms. Olivo was granted 36,508 stock options. These options vest ratably over the first three anniversary dates of the grant date.
F9 On May 11, 2023, Ms. Olivo was granted 19,508 restricted stock units. These restricted stock units vest ratably over the first three anniversary dates of the grant date.
F10 Once vested, the shares of common stock are not subject to expiration.
F11 On May 11, 2023, Ms. Olivo was granted 19,508 performance stock units representing the number of shares that may vest at target performance. The maximum number of shares that may vest pursuant to the performance criteria is 29,262. The number of performance stock units that may vest is based on the achievement of certain share growth goals based on the weighted average price of the Company's common stock over the 20-day trailing trading period at the applicable measurement dates, subject to continued service with the Company.