SEC Form 4 · accession 0000711377-15-000031
NEOGEN CORP · NEOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Herbert
Officer — Chairman & CEO · Director
Period of report
Aug 24, 2015
Accepted (ET)
Aug 26, 2015 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000711377
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 24, 2015 | M | 11,148 | $18.68 | A | 908,930 | D | |
| Common Stock | Aug 24, 2015 | S | 11,148 | $51.361 | D | 897,782 | D | |
| Common StockF2 | holding | — | — | — | 323,205 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (Right to Buy)F1 | $18.68 | Aug 24, 2015 | M | 11,148 | D | — | Aug 24, 2015 | Common stock | 11,148 | 332,854 | D |
Explanation of responses
- F1Options were granted on 8/24/2010, and became fully vested on 8/24/2015
- F2128,000 shares are held in a limited partnership, in which Mr. Herbert owns a minority financial interest; the remainder, 195,205 are held in trust for Mr. Herbert's spouse