SEC Form 4 · accession 0001019048-16-000002
TYSON FOODS, INC. · TSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Leatherby
Officer — EVP & CFO
Period of report
Dec 17, 2015
Accepted (ET)
Mar 2, 2016 · 4:40 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 17, 2015 | J | 71 | $0.00 | A | 152,096 | D | |
| Class A Common StockF2 | Dec 17, 2015 | G | 13,000 | $0.00 | D | 139,096 | D | |
| Class A Common StockF2 | Dec 17, 2015 | G | 2,000 | $0.00 | D | 137,096 | D | |
| Class A Common Stock | Feb 25, 2016 | J | 416 | $0.00 | A | 5,237 | I | Employee Stock Purchase Plan |
| Class A Common StockF4,F2 | Mar 1, 2016 | M | 5,312 | $0.00 | A | 142,408 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 4.75 Percent Tangible Equity UnitsF4 | — | Mar 1, 2016 | M | 5,000 | D | — | — | Class A Common Stock | 5,000 | 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 9,304.9089 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; includes 7,488.231 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; and, includes 8,456.088 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.
- F4Represents an election by the Reporting Person to settle prior to maturity the purchase contract component of the 4.75% Tangible Equity Units previously reported by the Reporting Person at the rate of 1.0624 shares of the Issuer's Class A Common Stock per unit.