NeoGenomics (NEO) Form 4 NEOGENOMICS / JENNIFER BALLIET 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^*

BALLIET JENNIFER

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP and Chief Culture Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/01/2021

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	03/01/2021		F		212(1)	D	$0	24,768	D
Common Stock	03/02/2021		F		173(2)	D	$0	24,595	D
Common Stock	03/02/2021		A		1,862	A	$0	26,457	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)	$7.52							(3)	04/28/2022	Common Stock	7,000		7,000	D
Stock Option (Right to Buy)	$8.03							(4)	02/26/2023	Common Stock	33,334		33,334	D
Stock Option (Right to Buy)	$19.6							(5)	03/01/2024	Common Stock	17,496		17,496	D
Stock Option (Right to Buy)	$28.33							(6)	03/02/2027	Common Stock	15,006		15,006	D
Stock Option (Right to Buy)	$53.17	03/02/2021		A		10,551		(7)	03/02/2028	Common Stock	10,551	$53.17	10,551	D

Explanation of Responses:

1. Shares surrendered to NeoGenomics Inc. for retirement to satisfy the tax obligations in connection with the March 1, 2021 vesting of restricted stock.

2. Shares surrendered to NeoGenomics Inc. for retirement to satisfy the tax obligations in connection with the March 2, 2021 vesting of restricted stock.

3. On April 28, 2017, Ms. Balliet was granted 60,000 stock options. These options vested ratably over the first three anniversaries of the grant date.

4. On February 26, 2018, Ms. Balliet was granted 72,500 stock options. These options vested ratably over the first three anniversary dates of the grant date.

5. On March 1, 2019, Ms. Balliet was granted 17,496 stock options. These options vest ratably over the first four anniversary dates of the grant date.

6. On March 2, 2020, Ms. Balliet was granted 15,006 stock options. These options vest ratably over the first four anniversary dates of the grant date.

7. On March 2, 2021, Ms. Balliet was granted 10,551 stock options. These options vest ratably over the first four anniversary dates of the grant date.

Remarks:

	/s/Jennifer Balliet	03/03/2021
	** 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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