SEC Form 4 · accession 0001543407-15-000038
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda M Tharby
Officer — Executive Vice President
Period of report
May 20, 2015
Accepted (ET)
May 21, 2015 · 1:57 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 Stock | May 20, 2015 | M | 3,147 | $84.33 | A | 9,844 | D | |
| Common StockF1 | May 20, 2015 | D | 1,869 | $142.00 | D | 7,975 | D | |
| Common StockF1 | May 20, 2015 | S | 1,278 | $142.00 | D | 6,697 | D | |
| Common Stock | May 21, 2015 | M | 458 | $84.33 | A | 7,155 | D | |
| Common StockF2 | May 21, 2015 | D | 272 | $142.02 | D | 6,883 | D | |
| Common StockF2 | May 21, 2015 | S | 186 | $142.02 | D | 6,697 | D | |
| Common Stock | May 21, 2015 | M | 9,854 | $75.63 | A | 16,551 | D | |
| Common StockF2 | May 21, 2015 | D | 5,249 | $142.02 | D | 11,302 | D | |
| Common StockF2 | May 21, 2015 | S | 4,605 | $142.02 | D | 6,697 | D | |
| Common StockF3 | holding | — | — | — | 1,492 | I | GSIP Trust | |
| Common StockF4 | holding | — | — | — | 91 | 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 20, 2015 | M | 3,147 | D | Nov 20, 2008 | Nov 20, 2017 | Common Stock | 3,147 | 458 | D |
| Stock Appreciation RightsF5 | $84.33 | May 21, 2015 | M | 458 | D | Nov 20, 2008 | Nov 20, 2017 | Common Stock | 458 | 0 | D |
| Stock Appreciation RightsF6 | $75.63 | May 21, 2015 | M | 9,854 | D | Nov 24, 2010 | Nov 24, 2019 | Common Stock | 9,854 | 0 | D |
Explanation of responses
- F1The reported sale price reflects the weighted average sale price for multiple transactions. The actual sales prices for the transactions ranged from $142.00 through $142.03. 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.
- 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 $142.14. 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.
- F3Represents shares of common stock held under the Becton, Dickinson and Company Global Share Investment Program (the "GSIP"). The information presented for the GSIP is as of August 31, 2014.
- 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 24, 2010.