SEC Form 4 · accession 0000100493-15-000096
TYSON FOODS, INC. · TSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John H Tyson
Officer — Chairman of the Board · Director
Period of report
Jun 15, 2015
Accepted (ET)
Aug 6, 2015 · 4:43 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 StockF2 | Jun 15, 2015 | J | 436 | $0.00 | A | 1,890,105 | D | |
| Class A Common Stock | Jul 30, 2015 | J | 848 | $0.00 | A | 113,479 | I | Employee Stock Purchase Plan |
| Class A Common StockF2 | Aug 5, 2015 | M | 500,000 | $16.35 | A | 2,390,105 | D | |
| Class A Common StockF4,F2 | Aug 5, 2015 | S | 335,550 | $41.30 | D | 2,054,555 | D |
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 | Aug 5, 2015 | M | 500,000 | D | Nov 16, 2007 | Nov 16, 2015 | Class A Common Stock | 500,000 | 0 | D |
Explanation of responses
- F1Represents 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 concurrent reporting requirements pursuant to Rule 16a-11.
- F2Includes 19,952 shares of Class A Common Stock which vest on the fourth business day following the filing the Issuer's Annual Report on Form 10-K for its 2016 fiscal year if the performance metric described in the applicable Stock Incentive Agreement is achieved. Also includes 21,454 shares of Class A Common Stock which vest on the fourth business day following the filing the Issuer's Annual Report on Form 10-K for its 2017 fiscal year if the performance metric described in the applicable Stock Incentive Agreement is achieved.
- F3Represents shares of the Issuer's Class A Common Stock received by the Reporting Person's account under the Issuer's Employee Stock Purchase Plan 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 concurrent reporting requirements pursuant to Rule 16a-11.
- F4This is a weighted average price. These shares were sold in multiple transactions on August 5, 2015 at prices ranging from $41.06 to $41.42, 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.