SEC Form 4 · accession 0001543407-16-000120
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nabil Shabshab
Officer — Executive Vice President
Period of report
Jun 7, 2016
Accepted (ET)
Jun 8, 2016 · 9:35 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 | Jun 7, 2016 | M | 4,392 | $72.12 | A | 11,092 | D | |
| Common StockF1 | Jun 7, 2016 | D | 1,874 | $168.75 | D | 9,218 | D | |
| Common StockF1 | Jun 7, 2016 | S | 2,518 | $168.75 | D | 6,700 | D | |
| Common Stock | Jun 7, 2016 | M | 4,663 | $76.18 | A | 11,363 | D | |
| Common StockF1 | Jun 7, 2016 | D | 2,101 | $168.75 | D | 9,262 | D | |
| Common StockF1 | Jun 7, 2016 | S | 2,562 | $168.75 | D | 6,700 | 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 | Jun 7, 2016 | M | 4,392 | D | Nov 22, 2012 | Nov 22, 2021 | Common Stock | 4,392 | 0 | D |
| Stock Appreciation RightsF3 | $76.18 | Jun 7, 2016 | M | 4,663 | D | Nov 20, 2013 | Nov 20, 2022 | Common Stock | 4,663 | 4,665 | 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 $168.56 through $169.05. 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.