SEC Form 4 · accession 0000711377-18-000005
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
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 8:51 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 | Feb 20, 2018 | M | 6,665 | $40.4625 | A | 1,157,591 | D | |
| Common Stock | Feb 20, 2018 | S | 6,665 | $59.3176 | D | 1,150,926 | D | |
| Common Stock | Feb 21, 2018 | M | 18,669 | $40.4625 | A | 1,169,595 | D | |
| Common Stock | Feb 21, 2018 | S | 18,669 | $59.3244 | D | 1,150,926 | 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 | $40.4625 | Feb 20, 2018 | M | 6,665 | D | — | Oct 29, 2021 | Common Stock | 6,665 | 370,672 | D |
| Common Stock (Right to Buy)F1 | $40.4625 | Feb 21, 2018 | M | 18,669 | D | — | Oct 29, 2021 | Common Stock | 18,669 | 352,003 | D |
Explanation of responses
- F1Options were granted 9/29/2016, have five year lives, and vest in equal 20% annual installments on each of the first five anniversary dates of the grant