SEC Form 4 · accession 0000711377-18-000051
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
Nov 15, 2018
Accepted (ET)
Nov 19, 2018 · 12:19 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 15, 2018 | M | 10,000 | $29.7075 | A | 746,484 | D | |
| Common Stock | Nov 15, 2018 | S | 10,000 | $62.0055 | D | 736,484 | D | |
| Common Stock | Nov 15, 2018 | M | 15,335 | $29.7075 | A | 751,819 | D | |
| common Stock | Nov 15, 2018 | S | 15,335 | $62.7275 | D | 736,484 | 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 | $29.7075 | Nov 15, 2018 | M | 10,000 | D | — | Oct 31, 2019 | Common Stock | 10,000 | 317,436 | D |
| Common Stock (Right to Buy)F1 | $29.7075 | Nov 15, 2018 | M | 15,335 | D | — | Oct 31, 2019 | Common Stock | 15,335 | 302,101 | D |
Explanation of responses
- F1Options were granted on 10/1/204, have five year lives, and vest in equal 205 annual installments on each of the first five anniversary dates following the grant