SEC Form 4 · accession 0000711377-17-000009
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
May 12, 2017
Accepted (ET)
May 15, 2017 · 9:31 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 | May 12, 2017 | M | 29,893 | $39.61 | A | 912,105 | D | |
| Common Stock | May 12, 2017 | M | 18,576 | $47.12 | A | 930,681 | D | |
| Common Stock | May 12, 2017 | S | 48,469 | $61.2875 | D | 882,212 | 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 | $39.61 | May 12, 2017 | M | 29,893 | D | — | Oct 31, 2019 | Common Stock | 29,893 | 301,001 | D |
| Common Stock (Right to Buy)F2 | $47.12 | May 12, 2017 | M | 18,576 | D | — | Nov 8, 2020 | Common Stock | 18,576 | 282,425 | D |
Explanation of responses
- F1Options were granted 10/1/2014, have five year lives, and vest in equal annual installments on the first five anniversary dates of the grant
- F2Options were granted 10/8/2015, have five year lives, and vest in equal annual 20% installments on the anniversary date of the grant