SEC Form 4 · accession 0001543407-17-000034
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Sichak
Officer — Executive Vice President
Period of report
Sep 8, 2017
Accepted (ET)
Sep 11, 2017 · 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 8, 2017 | M | 6,085 | $76.18 | A | 14,038 | D | |
| Common StockF1 | Sep 8, 2017 | D | 2,313 | $200.46 | D | 11,725 | D | |
| Common StockF1 | Sep 8, 2017 | S | 3,772 | $200.46 | D | 7,953 | D | |
| Common Stock | Sep 8, 2017 | M | 11,094 | $108.89 | A | 19,047 | D | |
| Common StockF1 | Sep 8, 2017 | D | 6,027 | $200.46 | D | 13,020 | D | |
| Common StockF1 | Sep 8, 2017 | S | 5,067 | $200.46 | D | 7,953 | D | |
| Common Stock | Sep 8, 2017 | M | 6,184 | $134.73 | A | 14,137 | D | |
| Common StockF1 | Sep 8, 2017 | D | 4,157 | $200.46 | D | 9,980 | D | |
| Common StockF1 | Sep 8, 2017 | S | 2,027 | $200.46 | D | 7,953 | D | |
| Common Stock | Sep 8, 2017 | M | 3,670 | $150.12 | A | 11,623 | D | |
| Common StockF1 | Sep 8, 2017 | D | 2,749 | $200.46 | D | 8,874 | D | |
| Common StockF1 | Sep 8, 2017 | S | 921 | $200.46 | D | 7,953 | 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 | Sep 8, 2017 | M | 6,085 | D | Nov 20, 2013 | Nov 20, 2022 | Common Stock | 6,085 | 0 | D |
| Stock Appreciation RightsF3 | $108.89 | Sep 8, 2017 | M | 11,094 | D | Nov 26, 2014 | Nov 26, 2023 | Common Stock | 11,094 | 3,698 | D |
| Stock Appreciation RightsF4 | $134.73 | Sep 8, 2017 | M | 6,184 | D | Nov 25, 2015 | Nov 25, 2024 | Common Stock | 6,184 | 6,186 | D |
| Stock Appreciation RightsF5 | $150.12 | Sep 8, 2017 | M | 3,670 | D | Nov 26, 2016 | Nov 26, 2025 | Common Stock | 3,670 | 11,010 | 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 $199.73 through $201.22. 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.
- F4The stock appreciation rights vest in four annual installments beginning November 25, 2015.
- F5The stock appreciation rights vest in four annual installments beginning November 26, 2016.