SEC Form 4 · accession 0000711377-18-000052

NEOGEN CORP · NEOG

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Chairman · Director

Period of report

Nov 20, 2018

Accepted (ET)

Nov 23, 2018 · 8:08 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 20, 2018	M	6,092	$35.34	A	742,576	D
Common Stock	Nov 20, 2018	S	6,092	$61.6989	D	736,484	D
Common Stock	Nov 21, 2018	M	15,948	$35.34	A	752,412	D
Common Stock	Nov 21, 2018	S	15,928	$61.0081	D	736,484	D
Common Stock	Nov 23, 2018	M	2,748	$35.34	A	739,232	D
Common Stock	Nov 23, 2018	S	2,748	$60.5144	D	736,484	D
Common Stock^F2	Nov 20, 2018	S	15,663	$61.0331	D	397,372	I	See footnote
Common Stock^F2	Nov 21, 2018	S	4,337	$61.0344	D	393,035	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock (Right to Buy)^F1	$35.34	Nov 20, 2018	M	6,092	D	—	Nov 8, 2020	Common Stock	6,092	296,009	D
Common Stock (right to Buy)^F1	$35.34	Nov 21, 2018	M	15,928	D	—	Nov 21, 2018	Common Stock	15,928	280,081	D
Common Stock (Right to Buy)^F1	$35.34	Nov 23, 2018	M	2,748	D	—	Nov 8, 2020	Common Stock	2,748	277,333	D

F1Options were granted 10/8/2015, have five year lives, and vest in equal annual 20%installments on each of the first five anniversary dates of the grant
F2144,280 shares are held in trust for Mr. Herbert's spouse, 88,783 are held in a charitable remainder trust in which Mr. Herbert and his spouse are the beneficiaries and trustees, and the remainder are held in limited liability companies in which Mr. Herbert and his spouse have limited minority ownership