SEC Form 4 · accession 0000711377-18-000016
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
May 4, 2018
Accepted (ET)
May 8, 2018 · 7:26 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 4, 2018 | G | 188,629 | $0.00 | D | 800,826 | D | |
| Common StockF2 | May 4, 2018 | G | 188,629 | $0.00 | A | 546,064 | I | See Footnote 2 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On May 4, 2018, Mr. Herbert and his wife contributed 202,812 shares of NEOG common stock to a charitable remainder trust of which he and his wife are trustees and beneficiaries. Of the shares contributed, 188,629 were contributed from Mr. Herbert's direct ownership, and 14,183 were contributed to the trust from Mrs. Herbert's holdings. Mr. Herbert continues to report beneficial ownership of all the NEOG stock held by the trust but disclaims beneficial ownership except to the extent of his and his wife's pecuniary interest therein.
- F2183,280 shares are held in trust for Mrs. Herbert, 159,432 are held in limited liability companies in which Mr. Herbert and his wife have minority financial positions, and 202,812 are held in a charitable remainder trust