SEC Form 4 · accession 0001543407-18-000071
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 14, 2018
Accepted (ET)
Nov 16, 2018 · 1:35 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 Stock | Nov 14, 2018 | M | 20,000 | $76.64 | A | 228,883 | D | |
| Common StockF1 | Nov 14, 2018 | D | 6,502 | $235.78 | D | 222,381 | D | |
| Common StockF1,F2 | Nov 14, 2018 | S | 13,498 | $235.78 | D | 194,310 | D | |
| Common Stock | Nov 15, 2018 | G | 530 | $0.00 | D | 193,780 | D | |
| Common StockF3 | holding | — | — | — | 24,681 | I | By GRAT | |
| Common StockF4 | holding | — | — | — | 10,508 | 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 | Nov 14, 2018 | M | 20,000 | D | Nov 23, 2011 | Nov 23, 2020 | Common Stock | 20,000 | 65,372 | 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 $234.14 through $237.10. 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.
- F2Includes 3,665 shares that were previously reported as indirectly owned by grantor retained annuity trust that reverted to direct holdings on August 7, 2018.
- F3Includes 18,238 shares that were previously reported as directly owned but were contributed to a grantor retained annuity trust on April 5, 2018.
- 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 1, 2018.
- F5The stock appreciation rights vest in four annual installments beginning November 23, 2011.