SEC Form 4 · accession 0001543407-15-000036
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William A Kozy
Officer — Executive Vice President
Period of report
May 18, 2015
Accepted (ET)
May 20, 2015 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000010795
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 18, 2015 | M | 7,256 | $84.33 | A | 80,964 | D | |
| Common StockF2 | May 18, 2015 | D | 4,309 | $142.00 | D | 76,655 | D | |
| Common StockF2 | May 18, 2015 | S | 2,947 | $142.00 | D | 73,708 | D | |
| Common Stock | May 19, 2015 | M | 10,901 | $84.33 | A | 84,609 | D | |
| Common StockF3 | May 19, 2015 | D | 6,474 | $142.01 | D | 78,135 | D | |
| Common StockF3 | May 19, 2015 | S | 4,427 | $142.01 | D | 73,708 | D | |
| Common Stock | May 19, 2015 | M | 5,467 | $62.50 | A | 79,175 | D | |
| Common StockF3 | May 19, 2015 | D | 2,406 | $142.01 | D | 76,769 | D | |
| Common StockF3 | May 19, 2015 | S | 3,061 | $142.01 | D | 73,708 | D | |
| Common Stock | holding | — | — | — | 44,224 | I | By wife | |
| Common StockF4 | holding | — | — | — | 12,021 | I | SIP Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF5 | $84.33 | May 18, 2015 | M | 7,256 | D | Nov 20, 2008 | Nov 20, 2017 | Common Stock | 7,256 | 10,901 | D |
| Stock Appreciation RightsF5 | $84.33 | May 19, 2015 | M | 10,901 | D | Nov 20, 2008 | Nov 20, 2017 | Common Stock | 10,901 | 0 | D |
| Stock Appreciation RightsF6 | $62.50 | May 19, 2015 | M | 5,467 | D | Nov 28, 2009 | Nov 28, 2018 | Common Stock | 5,467 | 18,455 | D |
Explanation of responses
- F1Includes rights acquired through dividend reinvestment since the last report filed by the reporting person and shares transferred from GRAT.
- F2The reported sale price reflects the weighted average sale price for multiple transactions. The actual sales prices for the transactions ranged from $142.00 through $142.06. Full information regarding the number of shares purchased at each separate price will be provided to the Securities and Exchange Commission, the issuer or a security holder of the issuer upon request.
- F3The reported sale price reflects the weighted average sale price for multiple transactions. The actual sales prices for the transactions ranged from $142.00 through $142.11. Full information regarding the number of shares purchased at each separate price will be provided to the Securities and Exchange Commission, the issuer or a security holder of the issuer upon request.
- F4Represents shares of common stock held under the Becton, Dickinson and Company Savings Incentive Plan (the "SIP"). The information presented for the SIP is as of April 30, 2015.
- F5The stock appreciation rights vest in four annual installments beginning November 20, 2008.
- F6The stock appreciation rights vest in four annual installments beginning November 28, 2009.