Sec Form 4 Filing - JONES STEVEN C @ NEOGENOMICS INC - 2021-01-07

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
JONES STEVEN C
2. Issuer Name and Ticker or Trading Symbol
NEOGENOMICS INC [ NEO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
12701 COMMONWEALTH DRIVE SUITE 9
3. Date of Earliest Transaction (MM/DD/YY)
01/07/2021
(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 125,000 I By self as Trustee for Steven and Carisa Jones 401k and Trust
Common Stock 30,476 I By Jones Network, LP
Common Stock 40,757 I Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones
Common Stock 01/07/2021 M( 1 ) 100,000 A $ 7.15 1,100,000 I By Aspen Select Opportunity Fund ( 2 )
Common Stock 01/07/2021 M( 1 ) 10,000 A $ 7.27 82,932 D
Common Stock 01/07/2021 M( 1 ) 3,017 A $ 11.6 85,949 D
Common Stock 01/07/2021 M( 1 ) 4,269 A $ 22.52 90,218 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) $ 7.15 01/07/2021 M 100,000 ( 3 ) 04/20/2021 Common Stock 100,000 $ 0 0 I By Aspen Select Opportunity Fund ( 2 )
Stock Option (Right to Buy) $ 7.27 01/07/2021 M 10,000 ( 4 ) 05/25/2022 Common Stock 10,000 $ 0 0 D
Stock Option (Right to Buy) $ 11.6 01/07/2021 M 3,017 06/01/2019 06/01/2023 Common Stock 3,017 $ 0 0 D
Stock Option (Right to Buy) $ 22.52 01/07/2021 M 4,269 06/06/2020 06/06/2026 Common Stock 4,269 $ 0 0 D
Stock Option (Right to Buy) $ 28.54 05/28/2021 05/28/2027 Common Stock 3,448 3,448 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
JONES STEVEN C
12701 COMMONWEALTH DRIVE SUITE 9
FORT MYERS, FL33913
X
Signatures
/s/ Steven Jones 01/11/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This filing relates to the exercise of a stock option. No shares of Common Stock were sold by the Mr. Jones, and the shares of Common Stock received upon exercise of the stock option are subject to a lock-up agreement with BofA Securities, Inc, .Morgan Stanley & Co. LLC and Goldman Sachs & Co. LLC.
( 2 )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.
( 3 )On April 20, 2016, Mr. Jones was granted 100,000 stock options. The options vested ratably over the first three anniversary dates of the grant date. On December 30, 2019, Mr. Jones transferred these options to Aspen Select Opportunity Fund, LP.
( 4 )On May 25, 2017, Mr. Jones was granted 10,000 stock options. The options vested ratably over the first three anniversary dates of the grant 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.