SEC Form 4 · accession 0001543407-16-000147
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
Nov 26, 2016
Accepted (ET)
Nov 29, 2016 · 12:28 pm EST
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 StockF1 | Nov 26, 2016 | A | 38,666 | $0.00 | A | 215,901 | D | |
| Common StockF2 | Nov 26, 2016 | F | 29,560 | $0.00 | D | 186,341 | D | |
| Common StockF3 | Nov 26, 2016 | A | 11,444 | $0.00 | A | 197,785 | D | |
| Common Stock | holding | — | — | — | 8,218 | I | By GRAT | |
| Common StockF4 | holding | — | — | — | 10,244 | 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 | $170.69 | Nov 26, 2016 | A | 112,233 | A | Nov 26, 2017 | Nov 26, 2026 | Common Stock | 112,233 | 112,233 | D |
Explanation of responses
- F1Represents shares vesting under performance units granted on November 26, 2013.
- F2Represents shares withheld for payment of withholding taxes in connection with vesting of the performance units referred to in footnote (1) and the vesting of restricted stock units as previously reported on Table I.
- F3Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.
- 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 26, 2017.