SEC Form 4 · accession 0000711377-17-000031
NEOGEN CORP · NEOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Herbert
Officer — Executive Chairman · Director
Period of report
Oct 6, 2017
Accepted (ET)
Oct 6, 2017 · 5:14 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 | Oct 4, 2017 | M | 14,513 | $28.6667 | A | 883,725 | D | |
| Common StockF2 | Oct 4, 2017 | M | 2,218 | $28.6667 | A | 885,943 | D | |
| Common Stock | Oct 4, 2017 | S | 14,513 | $78.3191 | D | 871,430 | 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 | Oct 4, 2012 | M | 18,000 | D | — | Oct 4, 2017 | Common Stock | 18,000 | 254,425 | D |
Explanation of responses
- F1Options were granted on 10/4/2012, have five year lives, and vest in equal annual 20% installments on the first five anniversary dates of the grant
- F2The option plan provides for the exchange of outstanding options for shares in an amount equal to the employee's equity in the options held