SEC Form 4 · accession 0000100493-16-000196
TYSON FOODS, INC. · TSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Curt Calaway
Officer — SVP Controller & CAO
Period of report
Dec 15, 2015
Accepted (ET)
Feb 19, 2016 · 12:41 pm EST
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 | Dec 15, 2015 | J | 45 | $0.00 | A | 17,301 | D | |
| Class A Common StockF2 | Dec 17, 2015 | J | 4 | $0.00 | A | 17,305 | D | |
| Class A Common Stock | Feb 11, 2016 | J | 195 | $0.00 | A | 2,160 | I | Employee Stock Purchase Plan |
| Class A Common StockF2 | Feb 18, 2016 | M | 1,200 | $4.90 | A | 18,505 | D | |
| Class A Common StockF2 | Feb 18, 2016 | M | 6,000 | $16.19 | A | 24,505 | D | |
| Class A Common StockF2 | Feb 18, 2016 | M | 6,000 | $19.63 | A | 30,505 | D | |
| Class A Common StockF4,F2 | Feb 18, 2016 | S | 13,200 | $62.47 | D | 17,305 | 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) | $4.90 | Feb 18, 2016 | M | 1,200 | D | Nov 14, 2010 | Nov 14, 2018 | Class A Common Stock | 1,200 | 0 | D |
| Non-Qualified Stock Options (Right to Buy) | $16.19 | Feb 18, 2016 | M | 6,000 | D | Nov 29, 2011 | Nov 29, 2020 | Class A Common Stock | 6,000 | 0 | D |
| Non-Qualified Stock Options (Right to Buy) | $19.63 | Feb 18, 2016 | M | 6,000 | D | Nov 28, 2012 | Nov 28, 2021 | Class A Common Stock | 6,000 | 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 1,504.2 shares of Class A Common Stock which vest on December 1, 2018 if the performance metrics described in the applicable Stock Incentive Agreement are achieved
- F3Represents 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 concurrent reporting requirements pursuant to Rule 16b-3.
- F4This is a weighted average price. These shares were sold in multiple transactions on February 18, 2016 at prices ranging from $62.41 to $62.599, 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.