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Nasdaq · USD

NEO

NEOGENOMICS INC

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2096
SEC CIK
0001077183
Parsed reports
450

Last 12 months

Inside the activity.

0 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202601
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202602
Jul 202600
Aug 202601
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 14, 2020 Filed Dec 16, 2020 01:51 UTC
Weiss Lawrence MartinChief Medical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $6.98 $0.00
Disclosure

SEC source: 0001077183-20-000227 · wf-form4_160808347590230.xml · derivative · entry 7

Weiss Lawrence Martin · CIK 0001761625 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2021-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On March 1, 2016, Dr. Weiss was granted 50,000 stock options. These options vested ratably over the first three anniversary dates of the grant date.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 01:51 UTC
Weiss Lawrence MartinChief Medical Officer
SaleCommon Stock 20,200 $51.06 $1,031,412.00
Disclosure

SEC source: 0001077183-20-000227 · wf-form4_160808347590230.xml · nonDerivative · entry 6

Weiss Lawrence Martin · CIK 0001761625 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,521

Read SEC document
December 14, 2020 Filed Dec 16, 2020 01:51 UTC
Weiss Lawrence MartinChief Medical Officer
Exercise / conversionCommon Stock 9,005 $19.60 $176,498.00
Disclosure

SEC source: 0001077183-20-000227 · wf-form4_160808347590230.xml · nonDerivative · entry 5

Weiss Lawrence Martin · CIK 0001761625 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,721

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 01:51 UTC
Weiss Lawrence MartinChief Medical Officer
Exercise / conversionCommon Stock 16,666 $13.87 $231,157.42
Disclosure

SEC source: 0001077183-20-000227 · wf-form4_160808347590230.xml · nonDerivative · entry 4

Weiss Lawrence Martin · CIK 0001761625 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,716

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 01:51 UTC
Weiss Lawrence MartinChief Medical Officer
Exercise / conversionCommon Stock 13,333 $9.22 $122,930.26
Disclosure

SEC source: 0001077183-20-000227 · wf-form4_160808347590230.xml · nonDerivative · entry 3

Weiss Lawrence Martin · CIK 0001761625 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,050

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 01:51 UTC
Weiss Lawrence MartinChief Medical Officer
Exercise / conversionCommon Stock 20,000 $7.27 $145,400.00
Disclosure

SEC source: 0001077183-20-000227 · wf-form4_160808347590230.xml · nonDerivative · entry 2

Weiss Lawrence Martin · CIK 0001761625 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,717

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 01:51 UTC
Weiss Lawrence MartinChief Medical Officer
Exercise / conversionCommon Stock 50,000 $6.98 $349,000.00
Disclosure

SEC source: 0001077183-20-000227 · wf-form4_160808347590230.xml · nonDerivative · entry 1

Weiss Lawrence Martin · CIK 0001761625 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,717

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 11, 2020 Filed Dec 11, 2020 22:57 UTC
BALLIET JENNIFERVP and Chief Culture Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $8.03 $0.00
Disclosure

SEC source: 0001077183-20-000223 · wf-form4_160772744474977.xml · derivative · entry 4

BALLIET JENNIFER · CIK 0001640500 · VP and Chief Culture Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 15,000 shares

Expires 2023-02-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On February 26, 2018, Ms. Balliet was granted 72,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.

Read SEC document
December 11, 2020 Filed Dec 11, 2020 22:57 UTC
BALLIET JENNIFERVP and Chief Culture Officer
SaleCommon Stock 15,000 $49.99 $749,850.00
Disclosure

SEC source: 0001077183-20-000223 · wf-form4_160772744474977.xml · nonDerivative · entry 2

BALLIET JENNIFER · CIK 0001640500 · VP and Chief Culture Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,980

Read SEC document
December 11, 2020 Filed Dec 11, 2020 22:57 UTC
BALLIET JENNIFERVP and Chief Culture Officer
Exercise / conversionCommon Stock 15,000 $8.03 $120,450.00
Disclosure

SEC source: 0001077183-20-000223 · wf-form4_160772744474977.xml · nonDerivative · entry 1

BALLIET JENNIFER · CIK 0001640500 · VP and Chief Culture Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,980

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 11, 2020 Filed Dec 14, 2020 22:49 UTC SaleCommon Stock 25,000 $50.52 $1,263,000.00
Disclosure

SEC source: 0001077183-20-000225 · wf-form4_160798614957845.xml · nonDerivative · entry 6

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,025,000

F1 · ownership.nature: 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.

Read SEC document
December 10, 2020 Filed Dec 14, 2020 22:49 UTC SaleCommon Stock 20,000 $50.30 $1,006,000.00
Disclosure

SEC source: 0001077183-20-000225 · wf-form4_160798614957845.xml · nonDerivative · entry 5

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,050,000

F1 · ownership.nature: 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.

Read SEC document
December 07, 2020 Filed Dec 7, 2020 23:23 UTC SaleCommon Stock 45,658 $49.45 $2,257,788.10
Disclosure

SEC source: 0001077183-20-000221 · wf-form4_160738336847250.xml · nonDerivative · entry 7

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,070,000

F1 · ownership.nature: 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.

Read SEC document
December 04, 2020 Filed Dec 7, 2020 23:23 UTC SaleCommon Stock 64,394 $48.07 $3,095,419.58
Disclosure

SEC source: 0001077183-20-000221 · wf-form4_160738336847250.xml · nonDerivative · entry 6

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,115,658

F1 · ownership.nature: 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.

Read SEC document
December 04, 2020 Filed Dec 7, 2020 23:19 UTC SaleCommon Stock 24,683 $47.88 $1,181,822.04
Disclosure

SEC source: 0001077183-20-000219 · wf-form4_160738316657613.xml · nonDerivative · entry 1

Johnson Kevin C · CIK 0001353436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,983

Read SEC document
December 03, 2020 Filed Dec 7, 2020 23:23 UTC SaleCommon Stock 19,948 $48.03 $958,102.44
Disclosure

SEC source: 0001077183-20-000221 · wf-form4_160738336847250.xml · nonDerivative · entry 5

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,180,052

F1 · ownership.nature: 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.

Read SEC document
December 02, 2020 Filed Dec 4, 2020 23:03 UTC
Bonello WilliamPresident, Informatics
Exercise / conversionStock Option (Right to Buy) · Derivative 8,000 $0.00 Strike: $8.03 $0.00
Disclosure

SEC source: 0001077183-20-000217 · wf-form4_160712294905089.xml · derivative · entry 3

Bonello William · CIK 0001454941 · President, Informatics

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,370

Underlying: Common Stock · 8,000 shares

Expires 2023-02-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On February 26, 2018, Mr. Bonello was granted 120,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.

Read SEC document
December 02, 2020 Filed Dec 4, 2020 23:03 UTC
Bonello WilliamPresident, Informatics
SaleCommon Stock 8,000 $46.80 $374,400.00
Disclosure

SEC source: 0001077183-20-000217 · wf-form4_160712294905089.xml · nonDerivative · entry 2

Bonello William · CIK 0001454941 · President, Informatics

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,060

Read SEC document
December 02, 2020 Filed Dec 4, 2020 23:03 UTC
Bonello WilliamPresident, Informatics
Exercise / conversionCommon Stock 8,000 $8.03 $64,240.00
Disclosure

SEC source: 0001077183-20-000217 · wf-form4_160712294905089.xml · nonDerivative · entry 1

Bonello William · CIK 0001454941 · President, Informatics

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,060

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 25, 2020 Filed Nov 25, 2020 23:04 UTC
CARDOZA GEORGEPresident, Pharma Services
Exercise / conversionStock Option (Right to Buy) · Derivative 77,074 $0.00 Strike: $7.52 $0.00
Disclosure

SEC source: 0001077183-20-000215 · wf-form4_160634543123462.xml · derivative · entry 7

CARDOZA GEORGE · CIK 0001518734 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 77,074 shares

Expires 2022-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On April 28, 2017, Mr. Cardoza was granted 200,000 stock options. These options vested ratably over the first three anniversary dates of the grant date.

Read SEC document
November 25, 2020 Filed Nov 25, 2020 23:04 UTC
CARDOZA GEORGEPresident, Pharma Services
SaleCommon Stock 77,074 $45.48 $3,505,325.52
Disclosure

SEC source: 0001077183-20-000215 · wf-form4_160634543123462.xml · nonDerivative · entry 5

CARDOZA GEORGE · CIK 0001518734 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,902

Read SEC document
November 25, 2020 Filed Nov 25, 2020 23:04 UTC
CARDOZA GEORGEPresident, Pharma Services
Exercise / conversionCommon Stock 77,074 $7.52 $579,596.48
Disclosure

SEC source: 0001077183-20-000215 · wf-form4_160634543123462.xml · nonDerivative · entry 4

CARDOZA GEORGE · CIK 0001518734 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 447,976

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 23:04 UTC
CARDOZA GEORGEPresident, Pharma Services
Exercise / conversionStock Option (Right to Buy) · Derivative 72,926 $0.00 Strike: $7.52 $0.00
Disclosure

SEC source: 0001077183-20-000215 · wf-form4_160634543123462.xml · derivative · entry 6

CARDOZA GEORGE · CIK 0001518734 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,074

Underlying: Common Stock · 72,926 shares

Expires 2022-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On April 28, 2017, Mr. Cardoza was granted 200,000 stock options. These options vested ratably over the first three anniversary dates of the grant date.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 23:04 UTC
CARDOZA GEORGEPresident, Pharma Services
SaleCommon Stock 52,926 $45.19 $2,391,725.94
Disclosure

SEC source: 0001077183-20-000215 · wf-form4_160634543123462.xml · nonDerivative · entry 3

CARDOZA GEORGE · CIK 0001518734 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,902

Read SEC document
November 24, 2020 Filed Nov 25, 2020 23:04 UTC
CARDOZA GEORGEPresident, Pharma Services
Exercise / conversionCommon Stock 72,926 $7.52 $548,403.52
Disclosure

SEC source: 0001077183-20-000215 · wf-form4_160634543123462.xml · nonDerivative · entry 2

CARDOZA GEORGE · CIK 0001518734 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 423,828

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $7.52 $0.00
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · derivative · entry 10

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2022-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On April 28, 2017, Mr. VanOort was granted 500,000 stock options. These options vested ratably over the first three anniversary dates of the grant date.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
SaleCommon Stock 100,000 $42.34 $4,234,000.00
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · nonDerivative · entry 7

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,422,790

Read SEC document
November 16, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
Exercise / conversionCommon Stock 20,000 $7.52 $150,400.00
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · nonDerivative · entry 6

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,522,790

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 16, 2020 Filed Nov 18, 2020 23:53 UTC SaleCommon Stock 70,000 $42.28 $2,959,600.00
Disclosure

SEC source: 0001077183-20-000213 · wf-form4_160574356403275.xml · nonDerivative · entry 1

HIPP RAYMOND R · CIK 0001188214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,800

Read SEC document
November 13, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 358,752 $0.00 Strike: $7.52 $0.00
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · derivative · entry 9

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 358,752 shares

Expires 2022-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On April 28, 2017, Mr. VanOort was granted 500,000 stock options. These options vested ratably over the first three anniversary dates of the grant date.

Read SEC document
November 13, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
SaleCommon Stock 118,752 $41.56 $4,935,333.12
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · nonDerivative · entry 5

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,502,790

Read SEC document
November 13, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
Exercise / conversionCommon Stock 358,752 $7.52 $2,697,815.04
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · nonDerivative · entry 4

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,621,542

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 12, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 121,248 $0.00 Strike: $7.52 $0.00
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · derivative · entry 8

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,752

Underlying: Common Stock · 121,248 shares

Expires 2022-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On April 28, 2017, Mr. VanOort was granted 500,000 stock options. These options vested ratably over the first three anniversary dates of the grant date.

Read SEC document
November 12, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
SaleCommon Stock 121,248 $42.18 $5,114,240.64
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · nonDerivative · entry 3

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,262,790

Read SEC document
November 12, 2020 Filed Nov 17, 2020 01:30 UTC
VAN OORT DOUGLAS MDirector · Chairman and CEO
Exercise / conversionCommon Stock 121,248 $7.52 $911,784.96
Disclosure

SEC source: 0001077183-20-000211 · wf-form4_160557663745672.xml · nonDerivative · entry 2

VAN OORT DOUGLAS M · CIK 0001518733 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,384,038

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 10, 2020 Filed Nov 12, 2020 23:00 UTC
Pedulla Denise EGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $7.85 $0.00
Disclosure

SEC source: 0001077183-20-000209 · wf-form4_160522200451410.xml · derivative · entry 3

Pedulla Denise E · CIK 0001804602 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2020-12-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On December 8, 2015, Ms. Pedulla was granted 60,000 stock options. These options vested ratably over the first four anniversary dates of the grant date.

Read SEC document
November 10, 2020 Filed Nov 12, 2020 23:00 UTC
Pedulla Denise EGeneral Counsel
SaleCommon Stock 2,262 $42.00 $95,004.00
Disclosure

SEC source: 0001077183-20-000209 · wf-form4_160522200451410.xml · nonDerivative · entry 2

Pedulla Denise E · CIK 0001804602 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,726

Read SEC document
November 10, 2020 Filed Nov 12, 2020 23:00 UTC
Pedulla Denise EGeneral Counsel
Exercise / conversionCommon Stock 15,000 $7.85 $117,750.00
Disclosure

SEC source: 0001077183-20-000209 · wf-form4_160522200451410.xml · nonDerivative · entry 1

Pedulla Denise E · CIK 0001804602 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,988

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 29, 2020 Filed Sep 30, 2020 22:25 UTC GiftCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001077183-20-000189 · wf-form4_160150468792948.xml · nonDerivative · entry 8

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,932

Read SEC document
September 29, 2020 Filed Sep 30, 2020 22:25 UTC SaleCommon Stock 81,000 $36.55 $2,960,550.00
Disclosure

SEC source: 0001077183-20-000189 · wf-form4_160150468792948.xml · nonDerivative · entry 7

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,932

Read SEC document
September 29, 2020 Filed Sep 30, 2020 22:25 UTC SaleCommon Stock 141,049 $36.95 $5,211,760.55
Disclosure

SEC source: 0001077183-20-000189 · wf-form4_160150468792948.xml · nonDerivative · entry 5

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,200,000

F1 · ownership.nature: 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.

Read SEC document
September 28, 2020 Filed Sep 30, 2020 22:25 UTC SaleCommon Stock 19,000 $36.56 $694,640.00
Disclosure

SEC source: 0001077183-20-000189 · wf-form4_160150468792948.xml · nonDerivative · entry 6

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,932

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September 28, 2020 Filed Sep 30, 2020 22:25 UTC SaleCommon Stock 38,951 $36.34 $1,415,479.34
Disclosure

SEC source: 0001077183-20-000189 · wf-form4_160150468792948.xml · nonDerivative · entry 4

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,341,049

F1 · ownership.nature: 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.

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September 24, 2020 Filed Sep 25, 2020 01:02 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 8,333 $0.00 Strike: $9.11 $0.00
Disclosure

SEC source: 0001077183-20-000187 · wf-form4_160099571411498.xml · derivative · entry 4

CROWTHER BRUCE K · CIK 0001244274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,333 shares

Expires 2021-07-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On July 28, 2016, Mr. Crowther was granted 8,333 stock options. The options vested ratably over the first three anniversary dates of the grant date.

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September 24, 2020 Filed Sep 25, 2020 01:02 UTC SaleCommon Stock 8,333 $35.01 $291,738.33
Disclosure

SEC source: 0001077183-20-000187 · wf-form4_160099571411498.xml · nonDerivative · entry 3

CROWTHER BRUCE K · CIK 0001244274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,483

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September 24, 2020 Filed Sep 25, 2020 01:02 UTC Exercise / conversionCommon Stock 8,333 $9.11 $75,913.63
Disclosure

SEC source: 0001077183-20-000187 · wf-form4_160099571411498.xml · nonDerivative · entry 2

CROWTHER BRUCE K · CIK 0001244274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,816

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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September 22, 2020 Filed Sep 25, 2020 01:02 UTC SaleCommon Stock 2,400 $35.68 $85,632.00
Disclosure

SEC source: 0001077183-20-000187 · wf-form4_160099571411498.xml · nonDerivative · entry 1

CROWTHER BRUCE K · CIK 0001244274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,483

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September 10, 2020 Filed Sep 10, 2020 22:16 UTC SaleCommon Stock 37,991 $37.13 $1,410,605.83
Disclosure

SEC source: 0001077183-20-000185 · wf-form4_159977617760663.xml · nonDerivative · entry 3

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,380,000

F1 · ownership.nature: 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.

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September 09, 2020 Filed Sep 10, 2020 22:16 UTC SaleCommon Stock 71,583 $36.98 $2,647,139.34
Disclosure

SEC source: 0001077183-20-000185 · wf-form4_159977617760663.xml · nonDerivative · entry 2

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,417,991

F1 · ownership.nature: 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.

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September 08, 2020 Filed Sep 10, 2020 22:16 UTC SaleCommon Stock 10,426 $36.13 $376,691.38
Disclosure

SEC source: 0001077183-20-000185 · wf-form4_159977617760663.xml · nonDerivative · entry 1

JONES STEVEN C · CIK 0001518732 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Aspen Select Opportunity Fund

Disclosed balance after: 1,489,574

F1 · ownership.nature: 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.