Sec Form 4 Filing - BALLIET JENNIFER @ NEOGENOMICS INC - 2017-05-25

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
BALLIET JENNIFER
2. Issuer Name and Ticker or Trading Symbol
NEOGENOMICS INC [ NEO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
VP and Chief Culture Officer
(Last) (First) (Middle)
12701 COMMONWEALTH DRIVE SUITE 9
3. Date of Earliest Transaction (MM/DD/YY)
05/25/2017
(Street)
FORT MYERS, FL33913
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 05/26/2017 S 3,334 D $ 7.5 10,049 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $ 3.76 04/16/2014( 1 ) 04/16/2018 Common Stock 7,500 7,500 D
Stock Option (Right to Buy) $ 3.45 03/05/2015( 2 ) 03/05/2019 Common Stock 15,000 15,000 D
Stock Option (Right to Buy) $ 4.78 05/04/2016( 3 ) 05/04/2020 Common Stock 120,000 120,000 D
Stock Option (Right to Buy) $ 7.15 04/20/2017( 4 ) 04/20/2021 Common Stock 50,000 50,000 D
Stock Option (Right to Buy) $ 7.52 04/28/2018( 5 ) 04/28/2022 Common Stock 60,000 60,000 D
Restricted Stock ( 6 ) $ 0 05/25/2017 A 20,000 05/25/2018( 7 ) ( 8 ) Common Stock 20,000 $ 0 20,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
BALLIET JENNIFER
12701 COMMONWEALTH DRIVE SUITE 9
FORT MYERS, FL33913
VP and Chief Culture Officer
Signatures
/s/Jennifer Balliet 05/30/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )On April 16, 2013, Jennifer Balliet was granted 7,500 stock options. These options vest ratably over the first three anniversary dates of the grant date.
( 2 )On March 5, 2014, Jennifer Balliet was granted 15,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
( 3 )On May 4, 2015, Jennifer Balliet was granted 120,000 stock options. The options vest ratably over the first three anniversary dates of the grant date.
( 4 )On April 20, 2016, Jennifer Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date.
( 5 )On April 28, 2017, Jennifer Balliet was granted 60,000 stock options. The options vest ratably over the first three anniversaries of the grant date.
( 6 )Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
( 7 )Restricted stock will vest as follows; 6,666 units will vest on May 25, 2018 and 6,667 units will vest on May 25, 2019 and 2020.
( 8 )These restricted stock units will terminate upon the earliest of death, termination of employment or the last vesting date.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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