GE Medical Systems Information Technologies, Inc.

SEC source: 0000899243-18-031056 · doc4.xml · nonDerivative · entry 1

GENERAL ELECTRIC CO · CIK 0000040545 · Former 10% Owner

GE Medical Systems Information Technologies, Inc. · CIK 0001662667 · Former 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: 0

F1 · ownership.direct: The securities reported herein were previously owned directly by GE Medical Systems Information Technologies, Inc., which is a wholly owned subsidiary of General Electric Company.

F1 · ownership.nature: The securities reported herein were previously owned directly by GE Medical Systems Information Technologies, Inc., which is a wholly owned subsidiary of General Electric Company.

SEC source: 0000899243-18-028734 · doc4.xml · nonDerivative · 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: 10,835,145

F1 · ownership.direct: The securities reported herein are owned directly by GE Medical Systems Information Technologies, Inc. ("GE InfoTech"), which is a wholly owned subsidiary of General Electric Company, a New York corporation ("General Electric"). General Electric disclaims beneficial ownership of the Common Stock held by GE InfoTech except to the extent of its pecuniary interest, and the filing of this Form 4 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.

F1 · ownership.nature: The securities reported herein are owned directly by GE Medical Systems Information Technologies, Inc. ("GE InfoTech"), which is a wholly owned subsidiary of General Electric Company, a New York corporation ("General Electric"). General Electric disclaims beneficial ownership of the Common Stock held by GE InfoTech except to the extent of its pecuniary interest, and the filing of this Form 4 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.

SEC source: 0000899243-18-018159 · 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: 0

Underlying: Common Stock · Not disclosed shares

Expires 2025-12-30

F1 · kind: This Form 4 is being filed in connection with the redemption by NeoGenomics, Inc. ("Issuer") of all of Issuer's outstanding shares of Series A convertible preferred stock, par value $0.001 per share ("Preferred Stock").

F4 · price: The $7.30 per share redemption price was less than the original stated value of $7.50 per share of Preferred Stock.

F2 · derivative.exercise_date: The shares of Preferred Stock were exercisable at any time after December 30, 2018, to the extent that the volume weighted average price of Issuer's common stock equaled or exceeded $8.00 per share, as adjusted for standard anti-dilution adjustments, for 30 consecutive trading days.

F3 · derivative.underlying_shares: Based on the conversion price and the liquidation preference of the Preferred Stock in effect on the date of this filing, 6,997,467 shares of common stock could have been issued had the Preferred Stock been converted in full on the date of this filing.

F5 · ownership.direct: GE Medical Systems Information Technologies, Inc. ("GE InfoTech") is a wholly owned subsidiary of General Electric Company, a New York corporation ("General Electric"). General Electric disclaims beneficial ownership of the securities 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 Issuer for purposes of Section 16 or any other purpose.

F5 · ownership.nature: GE Medical Systems Information Technologies, Inc. ("GE InfoTech") is a wholly owned subsidiary of General Electric Company, a New York corporation ("General Electric"). General Electric disclaims beneficial ownership of the securities 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 Issuer for purposes of Section 16 or any other purpose.

SEC source: 0000899243-18-000362 · 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: 6,864,000

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 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: The conversion price for the Preferred Stock was initially set at $7.50 per share, which conversion price is subject to adjustment from time to time for stock splits, reclassifications, and certain distributions by NeoGenomics.

F3 · kind: This Form 4 is being filed in connection with the payment of paid-in-kind dividends as provided for by the terms of the Preferred Stock ("PIK Dividends"), which payment is exempt from Section 16 of the Securities Exchange Act of 1934 under SEC Rule 16a-9 and/or Rule 16b-b(6).

F3 · shares: This Form 4 is being filed in connection with the payment of paid-in-kind dividends as provided for by the terms of the Preferred Stock ("PIK Dividends"), which payment is exempt from Section 16 of the Securities Exchange Act of 1934 under SEC Rule 16a-9 and/or Rule 16b-b(6).

F3 · price: This Form 4 is being filed in connection with the payment of paid-in-kind dividends as provided for by the terms of the Preferred Stock ("PIK Dividends"), which payment is exempt from Section 16 of the Securities Exchange Act of 1934 under SEC Rule 16a-9 and/or Rule 16b-b(6).

F4 · price: As provided for by the terms of the Preferred Stock, PIK Dividends accrue and are paid in kind on shares of Preferred Stock at the specified PIK Dividend rate multiplied by the then-effective liquidation preference. On December 31, 2017, PIK Dividends were paid in accordance with the terms of the Preferred Stock. As of such date, the aggregate effective liquidation preference of the Preferred Stock reported in this Form 4 was $51,480,000.

F5 · price: Based on the initial conversion price and the liquidation preference of the Preferred Stock in effect on the date of this filing, 6,864,000 shares of Common Stock could have been issued had the Preferred Stock been convertible, and converted in full, on such date. Based on the initial conversion price 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.

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 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.

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 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.

F4 · derivative.underlying_shares: As provided for by the terms of the Preferred Stock, PIK Dividends accrue and are paid in kind on shares of Preferred Stock at the specified PIK Dividend rate multiplied by the then-effective liquidation preference. On December 31, 2017, PIK Dividends were paid in accordance with the terms of the Preferred Stock. As of such date, the aggregate effective liquidation preference of the Preferred Stock reported in this Form 4 was $51,480,000.

F5 · derivative.underlying_shares: Based on the initial conversion price and the liquidation preference of the Preferred Stock in effect on the date of this filing, 6,864,000 shares of Common Stock could have been issued had the Preferred Stock been convertible, and converted in full, on such date. Based on the initial conversion price 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 4 shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of NeoGenomics 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 4 shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of NeoGenomics for purposes of Section 16 or any other purpose.

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.