SEC Form 4 · accession 0000711377-16-000086
NEOGEN CORP · NEOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Herbert
Officer — Chairman & CEO
Period of report
Sep 29, 2016
Accepted (ET)
Oct 3, 2016 · 6:29 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 StockF2 | Sep 29, 2016 | M | 2,481 | $23.0733 | A | 886,045 | D | |
| Common Stock | Sep 29, 2016 | M | 12,167 | $23.0733 | A | 898,212 | D | |
| Common Stock | Sep 30, 2016 | S | 3,000 | $54.75 | D | 895,212 | D | |
| common Stock | Sep 30, 2016 | S | 6,000 | $55.2553 | D | 889,212 | D | |
| Common Stock | Oct 3, 2016 | S | 3,000 | $55.60 | D | 886,212 | 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 | $23.0733 | Sep 29, 2016 | M | 16,501 | D | — | Sep 29, 2016 | common Stock | 16,501 | 280,001 | D |
Explanation of responses
- F1Options were granted on 9/29/2011, have five year lives, and vest 20% per year in equal annual installments on each of the first five anniversary dates of the grant
- F2The plan allows for the exchange of outstanding options for currently valued shares in an amount equal to the optionee's equity in the options held