SEC Form 4 · accession 0001543407-16-000113
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Polen Jr.
Officer — Executive Vice President
Period of report
May 6, 2016
Accepted (ET)
May 9, 2016 · 4:52 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 6, 2016 | M | 5,958 | $72.12 | A | 11,747 | D | |
| Common StockF1 | May 6, 2016 | D | 2,622 | $163.90 | D | 9,125 | D | |
| Common StockF1 | May 6, 2016 | S | 3,336 | $163.90 | D | 5,789 | D | |
| Common Stock | May 6, 2016 | M | 7,298 | $76.18 | A | 13,087 | D | |
| Common StockF1 | May 6, 2016 | D | 3,392 | $163.90 | D | 9,695 | D | |
| Common StockF1 | May 6, 2016 | S | 3,906 | $163.90 | D | 5,789 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF2 | $72.12 | May 6, 2016 | M | 5,958 | D | Nov 22, 2012 | Nov 22, 2021 | Common Stock | 5,958 | 0 | D |
| Stock Appreciation RightsF3 | $76.18 | May 6, 2016 | M | 7,298 | D | Nov 20, 2013 | Nov 20, 2022 | Common Stock | 7,298 | 3,652 | 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 $163.50 through $164.26. 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 stock appreciation rights vest in four annual installments beginning November 22, 2012.
- F3The stock appreciation rights vest in four annual installments beginning November 20, 2013.