SEC Form 4 · accession 0000100493-15-000033
TYSON FOODS, INC. · TSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Van Bebber
Officer — EVP & General Counsel
Period of report
Dec 17, 2014
Accepted (ET)
Mar 23, 2015 · 4:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000100493
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Dec 17, 2014 | G | 3,000 | $0.00 | D | 139,048 | D | |
| Class A Common StockF1 | Dec 30, 2014 | G | 250 | $0.00 | D | 138,798 | D | |
| Class A Common Stock | Mar 12, 2015 | J | 502 | $0.00 | A | 1,369 | I | Employee Stock Purchase Plan |
| Class A Common StockF1 | Mar 16, 2015 | J | 83 | $0.00 | A | 138,881 | D | |
| Class A Common StockF1 | Mar 20, 2015 | M | 8,000 | $16.35 | A | 146,881 | D | |
| Class A Common StockF1 | Mar 20, 2015 | M | 20,000 | $4.90 | A | 166,881 | D | |
| Class A Common StockF1 | Mar 20, 2015 | M | 20,000 | $12.02 | A | 186,881 | D | |
| Class A Common StockF1 | Mar 20, 2015 | M | 20,000 | $16.19 | A | 206,881 | D | |
| Class A Common StockF1 | Mar 20, 2015 | M | 20,000 | $19.63 | A | 226,881 | D | |
| Class A Common StockF1 | Mar 20, 2015 | M | 20,000 | $19.36 | A | 246,881 | D | |
| Class A Common StockF4,F1 | Mar 20, 2015 | S | 108,000 | $40.227 | D | 138,881 | D | |
| Class A Common Stock | holding | — | — | — | 900 | I | By Son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Options (Right to Buy) | $16.35 | Mar 20, 2015 | M | 8,000 | D | Nov 16, 2007 | Nov 16, 2015 | Class A Common Stock | 8,000 | 0 | D |
| Non-Qualified Stock Options (Right to Buy) | $4.90 | Mar 20, 2015 | M | 20,000 | D | Nov 14, 2010 | Nov 14, 2018 | Class A Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Options (Right to Buy) | $12.02 | Mar 20, 2015 | M | 20,000 | D | Nov 30, 2010 | Nov 30, 2019 | Class A Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Options (Right to Buy) | $16.19 | Mar 20, 2015 | M | 20,000 | D | Nov 29, 2011 | Nov 29, 2020 | Class A Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Options (Right to Buy) | $19.63 | Mar 20, 2015 | M | 20,000 | D | Nov 28, 2012 | Nov 28, 2021 | Class A Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Options (Right to Buy) | $19.36 | Mar 20, 2015 | M | 20,000 | D | Nov 26, 2013 | Nov 26, 2022 | Class A Common Stock | 20,000 | 45,800 | D |
Explanation of responses
- F1Includes 9,236 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2016 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved. Also includes 6,897 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2017 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved.
- F2Represents shares of the Issuer's Class A Common Stock purchased for the Reporting Person's account under the Issuer's Employee Stock Purchase Plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 reporting requirements pursuant to Rule 16b-3.
- F3Represents shares of the Issuer's Class A Common Stock received by the Reporting Person pursuant to the Issuer's dividend reinvestment plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 reporting requirements pursuant to Rule 16a-11.
- F4This is a weighted average price. These shares were sold in multiple transactions on March 20, 2015 at prices ranging from $40.42 to $40.09, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.