SEC Form 4 · accession 0000711377-16-000104
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
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 8:00 pm EST
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 | Nov 14, 2016 | M | 18,000 | $28.6667 | A | 904,212 | D | |
| Common Stock | Nov 14, 2016 | M | 18,000 | $36.0667 | A | 922,212 | D | |
| Common Stock | Nov 14, 2016 | S | 36,000 | $60.9995 | 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 | $28.6667 | Nov 14, 2016 | M | 18,000 | D | — | Oct 4, 2017 | Common Stock | 18,000 | 339,001 | D |
| Common Stock (Right to Buy)F2 | $36.0667 | Nov 14, 2016 | M | 18,000 | D | — | Aug 30, 2018 | Common Stock | 18,000 | 339,001 | D |
Explanation of responses
- F1Options were granted 10/4/2012, have five year lives, and vest in equal 20% annual installments on each of the first five anniversary dates of the grant
- F2Options were granted 8/30/2013, have five year lives, and vest in equal 20% annual installments on each of the first five anniversary dates of the grant