SEC Form 4 · accession 0001543407-17-000027
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
Aug 9, 2017
Accepted (ET)
Aug 10, 2017 · 10:08 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 | Aug 9, 2017 | M | 3,652 | $76.18 | A | 12,861 | D | |
| Common StockF1 | Aug 9, 2017 | D | 1,410 | $197.41 | D | 11,451 | D | |
| Common StockF1 | Aug 9, 2017 | S | 2,242 | $197.41 | D | 9,209 | D | |
| Common Stock | Aug 9, 2017 | M | 8,319 | $108.89 | A | 17,528 | D | |
| Common StockF1 | Aug 9, 2017 | D | 4,590 | $197.41 | D | 12,938 | D | |
| Common StockF1 | Aug 9, 2017 | S | 3,729 | $197.41 | D | 9,209 | 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 | $76.18 | Aug 9, 2017 | M | 3,652 | D | Nov 20, 2013 | Nov 20, 2022 | Common Stock | 3,652 | 0 | D |
| Stock Appreciation RightsF3 | $108.89 | Aug 9, 2017 | M | 8,319 | D | Nov 26, 2014 | Nov 26, 2023 | Common Stock | 8,319 | 2,775 | 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 $197.28 through $197.71. 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 20, 2013.
- F3The stock appreciation rights vest in four annual installments beginning November 26, 2014.