SEC Form 4 · accession 0001543407-16-000118
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent A Forlenza
Officer — Chairman, CEO and President · Director
Period of report
May 13, 2016
Accepted (ET)
May 16, 2016 · 11:39 am 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 13, 2016 | M | 34,544 | $62.50 | A | 207,225 | D | |
| Common StockF1 | May 13, 2016 | D | 12,975 | $166.17 | D | 194,250 | D | |
| Common StockF1 | May 13, 2016 | S | 21,569 | $166.17 | D | 172,681 | D | |
| Common Stock | May 13, 2016 | M | 30,000 | $75.63 | A | 202,681 | D | |
| Common StockF1 | May 13, 2016 | D | 13,636 | $166.17 | D | 189,045 | D | |
| Common StockF1 | May 13, 2016 | S | 16,364 | $166.17 | D | 172,681 | D | |
| Common Stock | holding | — | — | — | 14,328 | I | By GRAT | |
| Common StockF2 | holding | — | — | — | 10,165 | 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 RightsF3 | $62.50 | May 13, 2016 | M | 34,544 | D | Nov 25, 2009 | Nov 25, 2018 | Common Stock | 34,544 | 0 | D |
| Stock Appreciation RightsF4 | $75.63 | May 13, 2016 | M | 30,000 | D | Nov 24, 2010 | Nov 24, 2019 | Common Stock | 30,000 | 24,742 | 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 $165.82 through $166.40. 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.
- F2Represents 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 February 29, 2016.
- F3The stock appreciation rights vest in four annual installments beginning November 25, 2009.
- F4The stock appreciation rights vest in four annual installments beginning November 24, 2010.