NeoGenomics (NEO) Form 4 NEOGENOMICS / STEVEN C JONES ownership change

SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

JONES STEVEN C

(Last) (First) (Middle)

12701 COMMONWEALTH DRIVE SUITE 9

(Street)

FORT MYERS FL 33913

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
11/20/2019

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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								43,057	I	Shares owned in IRA, custodian accounts, and trusts for the family of Steven Jones
Common Stock								50,476	I	By Jones Network, LP
Common Stock	11/20/2019		S		128,068	D	$24.35	1,548,162	I	By Aspen Select Opportunity Fund(1)
Common Stock	11/21/2019		S		23,162	D	$24.27	1,525,000	I	By Aspen Select Opportunity Fund(1)
Common Stock	11/21/2019		G	V	50,000	D	$24.53	195,234	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 (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 Securities Underlying Derivative Security (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: 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)	$4.78							05/04/2016(2)	05/04/2020	Common Stock	225,000		225,000	D
Stock Option (Right to Buy)	$7.15							04/20/2017(3)	04/20/2021	Common Stock	100,000		100,000	D
Stock Option (Right to Buy)	$7.27							05/25/2018(4)	05/25/2022	Common Stock	10,000		10,000	D
Stock Option (Right to Buy)	$11.6							06/01/2019	06/01/2023	Common Stock	3,017		3,017	D
Stock Option (Right to Buy)	$22.52							06/06/2020	06/06/2026	Common Stock	4,269		4,269	D

Explanation of Responses:

1. 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.

2. On May 4, 2015, Mr. Jones was granted 225,000 stock options which vest ratably over the first three anniversary dates of the grant date.

3. On April 20, 2016, Mr. Jones was granted 100,000 stock options which vest ratably over the first three anniversary dates of the grant date.

4. On May 25, 2017, Mr. Jones was granted 10,000 stock options which vest ratably on the first three anniversary dates of the grant date.

Remarks:

	/s/ Steven Jones	11/22/2019
	** Signature of Reporting Person	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).
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