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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Unit | $ 0 | 05/11/2024 | M | 6,502 | (3) | (4) | Common Stock | 6,502 | $ 0 | 13,006 | D | ||||
| Stock Option (Right to Buy) | $ 19.12 | (5) | 09/30/2026 | Common Stock | 1,046 | 1,046 | D | ||||||||
| Stock Option (Right to Buy) | $ 27.34 | (6) | 05/01/2027 | Common Stock | 1,024 | 1,024 | D | ||||||||
| Stock Option (Right to Buy) | $ 48.99 | (7) | 05/01/2028 | Common Stock | 516 | 516 | D | ||||||||
| Stock Option (Right to Buy) | $ 46.1 | (8) | 08/01/2028 | Common Stock | 1,117 | 1,117 | D | ||||||||
| Stock Option (Right to Buy) | $ 9.45 | (9) | 05/01/2029 | Common Stock | 22,222 | 22,222 | D | ||||||||
| Stock Option (Right to Buy) | $ 10.05 | (10) | 09/01/2029 | Common Stock | 55,332 | 55,332 | D | ||||||||
| Stock Option (Right to Buy) | $ 19.65 | (11) | 05/11/2030 | Common Stock | 36,508 | 36,508 | D | ||||||||
| Performance Stock Unit | $ 0 | 05/11/2026(12) | (4) | Common Stock | 19,508 | 19,508 | D | ||||||||
| Stock Option (Right to Buy) | $ 16.45 | (13) | 02/23/2034 | Common Stock | 42,344 | 42,344 | D | ||||||||
| Restricted Stock Unit | $ 0 | (14) | (4) | Common Stock | 25,329 | 25,329 | D | ||||||||
| Performance Stock Unit | $ 0 | 02/23/2027(15) | (4) | Common Stock | 25,330 | 25,330 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Olivo Alicia C 9490 NEOGENOMICS WAY FORT MYERS, FL 33912 |
General Counsel | |||
| /s/ Alicia C. Olivo | 05/14/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Each restricted stock unit is the economic equivalent of one share of NeoGenomics common stock and is converted into common stock upon vesting. |
| (2) | Disposition of shares was in connection with the Issuer's withholding of common stock to satisfy tax withholding obligations related to the issuance of common stock upon release of restricted stock units. |
| (3) | 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. |
| (4) | Once vested, the shares of common stock are not subject to expiration. |
| (5) | 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. |
| (6) | 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. |
| (7) | 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. |
| (8) | 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. |
| (9) | 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. |
| (10) | 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. |
| (11) | 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. |
| (12) | 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. |
| (13) | On February 23, 2024, Ms. Olivo was granted 42,344 stock options. The options vest ratably over the first three anniversary dates of the grant date. |
| (14) | On February 23, 2024, Ms. Olivo was granted 25,329 restricted stock units. These restricted stock units vest ratably over the first three anniversary dates of the grant date. |
| (15) | On February 23, 2024, Ms. Olivo was granted 25,330 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 37,996. 50% of 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. 50% of the number of performance stock units that may vest is based on the achievement of certain revenue growth goals based on the achievement of the cumulative fiscal year revenue goal at the applicable measurement amounts, subject to continued service with the Company. |