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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.
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MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202601
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202602
Jul 202600
Aug 202601
Sep 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
April 28, 2017 Filed May 2, 2017 20:33 UTC GrantStock Option (Right to Buy) · Derivative 65,000 $7.52 Strike: $7.52 $488,800.00
Disclosure

SEC source: 0001209191-17-029207 · doc4.xml · derivative · entry 5

ROSS STEVEN A · CIK 0001591976 · CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2022-04-28

F4 · derivative.exercise_date: On April 28, 2017, Mr. Ross was granted 65,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.

Read SEC document
March 27, 2017 Filed Mar 28, 2017 21:12 UTC
BRODIE STEVEN G.President, Pharma Services
OtherStock Option · Derivative 10,000 $3.76 Strike: $3.76 $37,600.00
Disclosure

SEC source: 0001209191-17-023160 · doc4.xml · derivative · entry 5

BRODIE STEVEN G. · CIK 0001640522 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2018-04-16

Read SEC document
March 27, 2017 Filed Mar 28, 2017 21:12 UTC
BRODIE STEVEN G.President, Pharma Services
OtherCommon Stock 10,000 $3.76 $37,600.00
Disclosure

SEC source: 0001209191-17-023160 · doc4.xml · nonDerivative · entry 1

BRODIE STEVEN G. · CIK 0001640522 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,953

Read SEC document
March 20, 2017 Filed Mar 22, 2017 20:15 UTC
BRODIE STEVEN G.President, Pharma Services
SaleCommon Stock 33,450 $7.90 $264,255.00
Disclosure

SEC source: 0001209191-17-022294 · doc4.xml · nonDerivative · entry 2

BRODIE STEVEN G. · CIK 0001640522 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,953

Read SEC document
March 13, 2017 Filed Mar 17, 2017 23:31 UTC
BRODIE STEVEN G.President, Pharma Services
SaleCommon Stock 16,550 $8.00 $132,400.00
Disclosure

SEC source: 0001209191-17-021567 · doc4.xml · nonDerivative · entry 1

BRODIE STEVEN G. · CIK 0001640522 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,403

Read SEC document
March 13, 2017 Filed Mar 22, 2017 20:15 UTC
BRODIE STEVEN G.President, Pharma Services
SaleCommon Stock 16,550 $8.00 $132,400.00
Disclosure

SEC source: 0001209191-17-022294 · doc4.xml · nonDerivative · entry 1

BRODIE STEVEN G. · CIK 0001640522 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,403

F1 · acquired: This line is included for purposes of amending the filing on 3/17/2017 which inadvertently showed the transaction as securities acquired rather than securities disposed of.

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February 27, 2017 Filed Feb 28, 2017 23:43 UTC
BALLIET JENNIFERVP and Chief Culture Officer
OtherStock Option (Right to Buy) · Derivative 6,250 $1.69 Strike: $1.69 $10,562.50
Disclosure

SEC source: 0001209191-17-015446 · doc4.xml · derivative · entry 2

BALLIET JENNIFER · CIK 0001640500 · VP and Chief Culture Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 shares

Expires 2017-04-12

F1 · derivative.exercise_date: On April 12, 2012, Jennifer Balliet was granted 12,500 stock options. One quarter of these options vested immediately and the remaining options vested on the next three anniversary dates of the grant date. Jennifer Balliet previously exercised 6,250 of these options and is currently exercising the balance.

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February 27, 2017 Filed Feb 28, 2017 23:43 UTC
BALLIET JENNIFERVP and Chief Culture Officer
Exercise / conversionCommon Stock 6,250 $1.69 $10,562.50
Disclosure

SEC source: 0001209191-17-015446 · doc4.xml · nonDerivative · entry 1

BALLIET JENNIFER · CIK 0001640500 · VP and Chief Culture Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,383

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
February 02, 2017 Filed Feb 7, 2017 02:25 UTC
VAN OORT DOUGLAS MChairman and CEO
OtherStock Option (Right to Buy) · Derivative 200,000 $1.71 Strike: $1.71 $342,000.00
Disclosure

SEC source: 0001209191-17-008193 · doc4.xml · derivative · entry 6

VAN OORT DOUGLAS M · CIK 0001518733 · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2017-02-14

Read SEC document
February 02, 2017 Filed Feb 7, 2017 02:25 UTC
VAN OORT DOUGLAS MChairman and CEO
Tax withholdingCommon Stock 42,015 $8.14 $342,002.10
Disclosure

SEC source: 0001209191-17-008193 · doc4.xml · nonDerivative · entry 4

VAN OORT DOUGLAS M · CIK 0001518733 · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,832,985

F3 · shares: Shares withheld by NeoGenomics Inc. to satisfy the cost of shares in connection with the February 2, 2017 stock option exercise.

F4 · price: Closing stock price on February 1, 2017.

Read SEC document
February 02, 2017 Filed Feb 7, 2017 02:25 UTC
VAN OORT DOUGLAS MChairman and CEO
Exercise / conversionCommon Stock 200,000 $1.71 $342,000.00
Disclosure

SEC source: 0001209191-17-008193 · doc4.xml · nonDerivative · entry 3

VAN OORT DOUGLAS M · CIK 0001518733 · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,875,000

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
January 03, 2017 Filed Jan 4, 2017 22:33 UTC OtherStock Option (Right to Buy) · Derivative 3,333 $4.78 Strike: $4.78 $15,931.74
Disclosure

SEC source: 0001209191-17-001256 · doc4.xml · derivative · entry 6

Johnson Kevin C · CIK 0001353436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Common Stock · 3,333 shares

Expires 2020-05-06

Read SEC document
January 03, 2017 Filed Jan 4, 2017 22:33 UTC Exercise / conversionCommon Stock 3,333 $4.78 $15,931.74
Disclosure

SEC source: 0001209191-17-001256 · doc4.xml · nonDerivative · entry 1

Johnson Kevin C · CIK 0001353436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,087

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 27, 2016 Filed Dec 27, 2016 21:18 UTC
JONES STEVEN CExecutive VP of Finance
GiftCommon Stock 20,000 $8.92 $178,400.00
Disclosure

SEC source: 0001209191-16-156818 · doc4.xml · nonDerivative · entry 2

JONES STEVEN C · CIK 0001518732 · Executive VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,251

Read SEC document
December 22, 2016 Filed Dec 23, 2016 22:01 UTC OtherSeries A Convertible Preferred Stock · Derivative 8,066,667 $6.82 $55,000,148.94
Disclosure

SEC source: 0000899243-16-036296 · doc4.xml · derivative · entry 1

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

GE Medical Systems Information Technologies, Inc. · CIK 0001662667 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,600,000

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: At any time after December 30, 2018, to the extent that the volume weighted average price of the common stock, par value $0.001 per share ("Common Stock") of NeoGenomics, Inc., a Nevada corporation ("NeoGenomics") equals or exceeds $8.00 per share, as adjusted for standard anti-dilution adjustments, for 30 consecutive trading days, GE Medical Systems Information Technologies, Inc., a Wisconsin corporation ("GE InfoTech") will be entitled to convert all or any of the shares of Series A convertible preferred stock, par value $0.001 per share of NeoGenomics ("Preferred Stock") held by GE InfoTech into Common Stock in accordance with the terms of the Preferred Stock. In addition, if any Preferred Stock remains issued and outstanding on December 30, 2025, such Preferred Stock will automatically convert into Common Stock pursuant to the terms of the Preferred Stock.

F2 · derivative.exercise_price: (Continued From Footnote 1) As of the date of this filing, the conversion price of the Preferred Stock is $7.50 per share, which conversion price may be adjusted from time to time for certain anti-dilution adjustments.

F3 · kind: This Form 4 is being filed in connection with the redemption of shares of Preferred Stock by the issuer.

F3 · shares: This Form 4 is being filed in connection with the redemption of shares of Preferred Stock by the issuer.

F3 · price: This Form 4 is being filed in connection with the redemption of shares of Preferred Stock by the issuer.

F1 · derivative.exercise_date: At any time after December 30, 2018, to the extent that the volume weighted average price of the common stock, par value $0.001 per share ("Common Stock") of NeoGenomics, Inc., a Nevada corporation ("NeoGenomics") equals or exceeds $8.00 per share, as adjusted for standard anti-dilution adjustments, for 30 consecutive trading days, GE Medical Systems Information Technologies, Inc., a Wisconsin corporation ("GE InfoTech") will be entitled to convert all or any of the shares of Series A convertible preferred stock, par value $0.001 per share of NeoGenomics ("Preferred Stock") held by GE InfoTech into Common Stock in accordance with the terms of the Preferred Stock. In addition, if any Preferred Stock remains issued and outstanding on December 30, 2025, such Preferred Stock will automatically convert into Common Stock pursuant to the terms of the Preferred Stock.

F2 · derivative.exercise_date: (Continued From Footnote 1) As of the date of this filing, the conversion price of the Preferred Stock is $7.50 per share, which conversion price may be adjusted from time to time for certain anti-dilution adjustments.

F1 · derivative.expiration_date: At any time after December 30, 2018, to the extent that the volume weighted average price of the common stock, par value $0.001 per share ("Common Stock") of NeoGenomics, Inc., a Nevada corporation ("NeoGenomics") equals or exceeds $8.00 per share, as adjusted for standard anti-dilution adjustments, for 30 consecutive trading days, GE Medical Systems Information Technologies, Inc., a Wisconsin corporation ("GE InfoTech") will be entitled to convert all or any of the shares of Series A convertible preferred stock, par value $0.001 per share of NeoGenomics ("Preferred Stock") held by GE InfoTech into Common Stock in accordance with the terms of the Preferred Stock. In addition, if any Preferred Stock remains issued and outstanding on December 30, 2025, such Preferred Stock will automatically convert into Common Stock pursuant to the terms of the Preferred Stock.

F2 · derivative.expiration_date: (Continued From Footnote 1) As of the date of this filing, the conversion price of the Preferred Stock is $7.50 per share, which conversion price may be adjusted from time to time for certain anti-dilution adjustments.

F4 · derivative.underlying_shares: As provided for in the terms of the Preferred Stock, it is expected that paid-in-kind dividends ("PIK Dividends") on each share of Preferred Stock will accrue and will be paid in kind in shares of Preferred Stock at the specified PIK Dividend rate, multiplied by the then-effective liquidation preference (including all accrued and unpaid PIK Dividends), in each case, as adjusted for certain anti-dilution adjustments. As of the date of this filing, the aggregate liquidation preference of the Preferred Stock reported in this Form 4 is $49,500,000 (based on $7.50 per share). Based on the conversion price of $7.50 per share and the liquidation preference of the Preferred Stock in effect on the date of this filing, 6,600,000 shares of Common Stock could have been issued had the Preferred Stock been convertible, and converted in full, on the date of this filing.

F5 · derivative.underlying_shares: (Continued From Footnote 4) Based on the conversion price as of the date of this filing and assuming that all PIK Dividends are paid pursuant to the terms of the Preferred Stock, it is expected that a total of 11,448,954 shares of Common Stock would be issued if all of the shares of Preferred Stock remain outstanding through December 30, 2025 and are converted in full on such date.

F6 · ownership.direct: GE InfoTech is a wholly owned subsidiary of General Electric Company, a New York corporation ("General Electric"). General Electric disclaims beneficial ownership of the Common Stock and the Preferred Stock held by GE InfoTech except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of NeoGenomics, Inc. for purposes of Section 16 or any other purpose.

F6 · ownership.nature: GE InfoTech is a wholly owned subsidiary of General Electric Company, a New York corporation ("General Electric"). General Electric disclaims beneficial ownership of the Common Stock and the Preferred Stock held by GE InfoTech except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of NeoGenomics, Inc. for purposes of Section 16 or any other purpose.

Read SEC document
December 06, 2016 Filed Dec 7, 2016 22:12 UTC
BRODIE STEVEN G.President, Pharma Services
OtherStock Option (Right to Buy) · Derivative 10,000 $1.69 Strike: $1.69 $16,900.00
Disclosure

SEC source: 0001209191-16-153941 · doc4.xml · derivative · entry 2

BRODIE STEVEN G. · CIK 0001640522 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2017-04-12

F1 · derivative.exercise_date: On April 12, 2012 Dr.Brodie was granted 10,000 stock options. There was immediate vesting of 2,500 shares and then 2,500 shares will vest on the next three anniversary dates of the grant date.

Read SEC document
December 06, 2016 Filed Dec 7, 2016 22:12 UTC
BRODIE STEVEN G.President, Pharma Services
Exercise / conversionCommon Stock 10,000 $1.69 $16,900.00
Disclosure

SEC source: 0001209191-16-153941 · doc4.xml · nonDerivative · entry 1

BRODIE STEVEN G. · CIK 0001640522 · President, Pharma Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,953

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
October 07, 2016 Filed Oct 11, 2016 20:44 UTC
BALLIET JENNIFERVP and Chief Culture Officer
OtherStock Option (Right to Buy) · Derivative 3,334 $1.10 Strike: $1.10 $3,667.40
Disclosure

SEC source: 0001209191-16-145592 · doc4.xml · derivative · entry 2

BALLIET JENNIFER · CIK 0001640500 · VP and Chief Culture Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,334 shares

Expires 2016-10-14

F1 · derivative.exercise_date: On October 14, 2011, Jennifer Balliet was granted 10,000 stock options. The options vest ratably over the first three anniversaries of the grant date.

Read SEC document
October 07, 2016 Filed Oct 11, 2016 20:44 UTC
BALLIET JENNIFERVP and Chief Culture Officer
Exercise / conversionCommon Stock 3,334 $1.10 $3,667.40
Disclosure

SEC source: 0001209191-16-145592 · doc4.xml · nonDerivative · entry 1

BALLIET JENNIFER · CIK 0001640500 · VP and Chief Culture Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,133

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 23, 2016 Filed Sep 27, 2016 20:12 UTC
ALBITAR MAHERChief Medical Officer
SaleCommon Stock 2,800 $8.40 $23,520.00
Disclosure

SEC source: 0001209191-16-142899 · doc4.xml · nonDerivative · entry 2

ALBITAR MAHER · CIK 0001591950 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares owned by Albitar Oncology Defined Benefit Plan

Disclosed balance after: 60,692

Read SEC document
September 20, 2016 Filed Sep 22, 2016 21:48 UTC
ALBITAR MAHERChief Medical Officer
SaleCommon Stock 105,300 $8.20 $863,460.00
Disclosure

SEC source: 0001209191-16-142527 · doc4.xml · nonDerivative · entry 3

ALBITAR MAHER · CIK 0001591950 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
September 14, 2016 Filed Sep 16, 2016 21:11 UTC
JONES STEVEN CExecutive VP of Finance
SaleWarrants · Derivative 112,500 $1.50 Strike: $1.50 $168,750.00
Disclosure

SEC source: 0001209191-16-141827 · doc4.xml · derivative · entry 10

JONES STEVEN C · CIK 0001518732 · Executive VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 112,500 shares

Expires 2017-05-03

F4 · kind: Warrants were sold to an unaffiliated third party and remain subject to exercise.

F5 · derivative.exercise_date: Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.

Read SEC document
September 14, 2016 Filed Sep 16, 2016 21:11 UTC
JONES STEVEN CExecutive VP of Finance
SaleWarrants · Derivative 112,500 $1.50 Strike: $1.50 $168,750.00
Disclosure

SEC source: 0001209191-16-141827 · doc4.xml · derivative · entry 9

JONES STEVEN C · CIK 0001518732 · Executive VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 112,500 shares

Expires 2017-05-03

F4 · kind: Warrants were sold to an unaffiliated third party and remain subject to exercise.

F5 · derivative.exercise_date: Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.

Read SEC document
September 14, 2016 Filed Sep 16, 2016 21:11 UTC
JONES STEVEN CExecutive VP of Finance
SaleWarrants · Derivative 225,000 $1.50 Strike: $1.50 $337,500.00
Disclosure

SEC source: 0001209191-16-141827 · doc4.xml · derivative · entry 8

JONES STEVEN C · CIK 0001518732 · Executive VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 225,000 shares

Expires 2017-05-03

F4 · kind: Warrants were sold to an unaffiliated third party and remain subject to exercise.

F5 · derivative.exercise_date: Such warrants were issued in connection with a consulting agreement, dated 5/3/2010.

Read SEC document
September 12, 2016 Filed Sep 13, 2016 22:15 UTC
ALBITAR MAHERChief Medical Officer
SaleCommon Stock 51,000 $8.21 $418,710.00
Disclosure

SEC source: 0001209191-16-141281 · doc4.xml · nonDerivative · entry 4

ALBITAR MAHER · CIK 0001591950 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,300

Read SEC document
September 09, 2016 Filed Sep 13, 2016 22:15 UTC
ALBITAR MAHERChief Medical Officer
SaleCommon Stock 9,075 $8.31 $75,413.25
Disclosure

SEC source: 0001209191-16-141281 · doc4.xml · nonDerivative · entry 3

ALBITAR MAHER · CIK 0001591950 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,300

Read SEC document

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