NeoGenomics (NEO) COO exercises RSUs, withholds shares for taxes and holds 164,032 shares
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
NeoGenomics Inc. President & Chief Operating Officer Warren Stone reported a routine equity compensation event. On May 11, 2026, he exercised 5,830 restricted stock units into an equal number of shares of common stock. Of these, 3,783 shares of common stock were withheld to satisfy tax obligations through a share delivery mechanism.
Following these transactions, Mr. Stone directly holds 164,032 shares of NeoGenomics common stock. The filing also lists substantial existing awards of restricted stock units, performance stock units, and stock options with various vesting schedules and premium exercise prices, reflecting a compensation package tied to service, share-price growth and revenue growth goals.
Positive
- None.
Negative
- None.
Insider Trade Summary
5,830 shares exercised/converted
Mixed
19 txns
Insider
Stone Warren
Role
Pres & Chief Operating Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Restricted Stock Unit | 5,830 | $0.00 | -- |
| Exercise | Common Stock | 5,830 | $0.00 | -- |
| Tax Withholding | Common Stock | 3,783 | $0.00 | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Performance Stock Unit | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Performance Stock Unit | -- | -- | -- |
| holding | Restricted Stock Unit | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Performance Stock Unit | -- | -- | -- |
| holding | Restricted Stock Unit | -- | -- | -- |
| holding | Restricted Stock Unit | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Restricted Stock Unit | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Restricted Stock Unit | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Restricted Stock Unit | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Unit — 3,783 shares (Direct, null);
Common Stock — 167,815 shares (Direct, null);
Stock Option (Right to Buy) — 166,113 shares (Direct, null);
Performance Stock Unit — 21,204 shares (Direct, null)
Footnotes (1)
- On May 11, 2023, Mr. Stone was granted 28,838 restricted stock units. The restricted stock units vest ratably over the first three anniversary dates of the grant date. Once vested, the shares of common stock are not subject to expiration. On December 1, 2022, Mr. Stone was granted 166,113 stock options. The options vest ratably over the first four anniversary dates of the grant date. On May 11, 2023, Mr. Stone was granted 53,969 stock options. The options vest ratably over the first three anniversary dates of the grant date. On May 11, 2023, Mr. Stone was granted 21,204 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 31,806. The number of performance stock units that may vest is based on the achievement of certain 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. On February 23, 2024, Mr. Stone was granted 42,344 stock options. The options vest ratably over the first three anniversary dates of the grant date. On February 23, 2024, Mr. Stone 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 achievements 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. On February 23, 2024, Mr. Stone was granted 25,329 restricted stock units. The restricted stock units vest ratably over the first three anniversary dates of the grant date. On May 2, 2024, Mr. Stone was granted 29,976 stock options. The options vest ratably over the first three anniversary dates of the grant date. On May 2, 2024, Mr. Stone was granted 17,908 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 26,862. 50% of the number of performance stock units that may vest is based on the achievements of certain share growth goals based on the weighted average price of the Company's common stock over the 20-day trailing trading period atthe 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. On May 2, 2024, Mr. Stone was granted 17,905 restricted stock units. The restricted stock units vest ratably over the first three anniversary dates of the grant date. This stock option was granted as a premium-price stock option. To calculate the premium exercise price we used the closing price on February 20, 2025 and multiplied by 110% On February 21, 2025, Mr. Stone was granted 143,266 stock options. At the time of the grant, the options vested ratably over the first three anniversary dates of the grant date. In connection with Mr. Stone's promotion to President & Chief Operating Officer on April 1, 2025, the vesting schedule of these options was modified so that they now vest ratably on the 12-month, 18-month and 24-month anniversary dates of the grant date. On February 21, 2025, Mr. Stone was granted 84,317 restricted stock units. At the time of the grant, the restricted stock units vested ratably over the first three anniversary dates of the grant date. In connection with Mr. Stone's promotion to President & Chief Operating Officer on April 1, 2025, the vesting schedule of these restricted stock units was modified so that they now vest ratably on the 12-month, 18-month and 24-month anniversary dates of the grantdate. This stock option was granted as a premium-price stock option. To calculate the premium exercise price we used the closing price on April 1, 2025 and multiplied by 110%. On April 1, 2025, Mr. Stone was granted 94,518 stock options. The options vest ratably on the 12-month, 18-month and 24-month anniversary dates of the grant date. On April 1, 2025, Mr. Stone was granted 52,687 restricted stock units. The restricted stock units vest ratably on the 12-month, 18-month and 24-month anniversary dates of the grant date. This stock option was granted as a premium-price stock option. To calculate the premium exercise price we used the closing price on February 27, 2026 multiplied by 110%. On March 1, 2026, Mr. Stone was granted 253,378 stock options. The options vest ratably over the first three anniversary dates of the grant date. On March 1, 2026, Mr. Stone was granted 152,594 restricted stock units. The restricted stock units vest ratably over the first three anniversary dates of the grant date.
Key Figures
RSUs exercised: 5,830 shares
Shares withheld for taxes: 3,783 shares
Direct common shares after transactions: 164,032 shares
+5 more
8 metrics
RSUs exercised
5,830 shares
Restricted stock units converted to common stock on May 11, 2026
Shares withheld for taxes
3,783 shares
Common stock delivered to satisfy tax obligations on May 11, 2026
Direct common shares after transactions
164,032 shares
Common stock directly held by Warren Stone following the Form 4 events
Common shares after exercise before withholding
167,815 shares
Direct common stock position after RSU exercise and before tax withholding
Stock options grant 2026
253,378 underlying shares at $10.81
Stock options expiring March 1, 2036 with a $10.81 exercise price
Stock options grant 2022
166,113 underlying shares at $11.21
Stock options expiring December 1, 2029 with an $11.21 exercise price
Premium-price options grant 2025
94,518 underlying shares at $10.44
Premium-price stock options expiring April 1, 2035 with a $10.44 exercise price
Premium-price options grant 2025
143,266 underlying shares at $13.05
Premium-price stock options expiring February 21, 2035 with a $13.05 exercise price
Key Terms
Restricted Stock Unit, Performance Stock Unit, premium-price stock option, tax-withholding disposition, +2 more
6 terms
Restricted Stock Unit financial
"On March 1, 2026, Mr. Stone was granted 152,594 restricted stock units."
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
Performance Stock Unit financial
"Mr. Stone was granted 21,204 performance stock units representing the number of shares that may vest at target performance."
A performance stock unit is a type of reward companies give to employees, usually managers, that depends on how well the company performs over time. If the company hits specific goals, the employee earns shares of stock, like earning a prize for reaching certain levels in a game. It motivates employees to work hard because their rewards are tied to the company's success.
tax-withholding disposition financial
"Payment of exercise price or tax liability by delivering securities"
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
derivative exercise/conversion financial
"Exercise or conversion of derivative security"
vesting schedule financial
"The options vest ratably over the first three anniversary dates of the grant date."
A vesting schedule is a timeline that determines when someone gains full ownership of certain benefits, such as company stock or retirement contributions. Think of it like earning the right to own a gift gradually over time, rather than receiving it all at once. It matters to investors because it affects when they can fully access or sell these benefits, influencing their financial planning and decision-making.
FAQ
What insider transaction did NeoGenomics (NEO) report for Warren Stone?
NeoGenomics reported that Warren Stone exercised 5,830 restricted stock units into common stock. In the same event, 3,783 shares were delivered to cover tax obligations, leaving him with 164,032 shares of common stock held directly after the transactions.
Was the NeoGenomics (NEO) Form 4 for Warren Stone an open-market buy or sell?
The Form 4 shows no open-market buy or sell by Warren Stone. It reports a derivative exercise of 5,830 restricted stock units into common shares and a tax-withholding disposition of 3,783 shares, which is a standard mechanism to satisfy tax obligations on equity compensation.
What equity awards does Warren Stone have outstanding at NeoGenomics (NEO)?
Warren Stone holds multiple outstanding awards, including restricted stock units, performance stock units and stock options. Examples include 253,378 stock options at a $10.81 exercise price expiring in 2036 and 166,113 stock options at an $11.21 exercise price expiring in 2029, among other grants.
How are Warren Stone’s performance stock units at NeoGenomics (NEO) structured?
His performance stock units generally vest based on growth metrics. Footnotes state that vesting depends on achieving share-price growth goals using a 20-day weighted average and revenue growth goals over specified fiscal periods, in each case subject to his continued service with NeoGenomics.