SEC Form 4 · accession 0001543407-16-000127
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
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 9:17 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 | Sep 6, 2016 | M | 12,958 | $76.64 | A | 22,146 | D | |
| Common StockF1 | Sep 6, 2016 | D | 5,608 | $177.10 | D | 16,538 | D | |
| Common StockF1 | Sep 6, 2016 | S | 7,350 | $177.10 | D | 9,188 | D | |
| Common Stock | Sep 6, 2016 | M | 7,333 | $72.12 | A | 16,521 | D | |
| Common StockF2 | Sep 6, 2016 | D | 2,979 | $177.57 | D | 13,542 | D | |
| Common StockF2 | Sep 6, 2016 | S | 4,354 | $177.57 | D | 9,188 | D | |
| Common StockF3 | holding | — | — | — | 1,515 | I | GSIP Trust | |
| Common StockF4 | holding | — | — | — | 93 | 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 | $76.64 | Sep 6, 2016 | M | 12,958 | D | Nov 23, 2011 | Nov 23, 2020 | Common Stock | 12,958 | 0 | D |
| Stock Appreciation RightsF6 | $72.12 | Sep 6, 2016 | M | 7,333 | D | Nov 22, 2012 | Nov 22, 2021 | Common Stock | 7,333 | 7,333 | 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 $176.79 through $177.52. 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 $177.45 through $177.68. 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 September 30, 2015.
- 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 July 31, 2016.
- F5The stock appreciation rights vest in four annual installments beginning November 23, 2011.
- F6The stock appreciation rights vest in four annual installments beginning November 22, 2012.