SEC Form 4 · accession 0000711377-16-000077
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 5, 2016
Accepted (ET)
Aug 9, 2016 · 7:34 am 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 5, 2016 | M | 2,757 | $28.6667 | A | 900,539 | D | |
| Common Stock | Aug 5, 2016 | M | 21,313 | $36.0667 | A | 921,852 | D | |
| Common Stock | Aug 5, 2016 | S | 24,070 | $55.4061 | D | 897,782 | D |
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 | $28.6667 | Aug 5, 2016 | M | 2,757 | D | — | Oct 4, 2017 | Common Stock | 2,757 | 332,502 | D |
| Common Stock (Right to Buy)F2 | $36.0667 | Aug 5, 2016 | M | 21,313 | D | — | Aug 30, 2017 | Common Stock | 21,313 | 311,189 | D |
Explanation of responses
- F1Options were granted on 10/4/2012, have five year lives, and vest in equal annual installments on each of the anniversary dates of the grant
- F2Options were granted 8/30/2013, have five year lives, and vest in equal annual installments on each of the 5 anniversary dates of the grant