SEC Form 4 · accession 0001543407-18-000086
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W Borzi
Officer — EVP & Chief Supply Chain Offcr
Period of report
Nov 30, 2018
Accepted (ET)
Dec 3, 2018 · 9:43 am 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 30, 2018 | M | 1,413 | $134.73 | A | 6,013 | D | |
| Common StockF1 | Nov 30, 2018 | D | 755 | $252.39 | D | 5,258 | D | |
| Common StockF1 | Nov 30, 2018 | S | 658 | $252.39 | D | 4,600 | D | |
| Common Stock | Nov 30, 2018 | M | 6,054 | $150.12 | A | 10,654 | D | |
| Common StockF1 | Nov 30, 2018 | D | 3,601 | $252.39 | D | 7,053 | D | |
| Common StockF1 | Nov 30, 2018 | S | 2,453 | $252.39 | D | 4,600 | D | |
| Common Stock | Nov 30, 2018 | M | 2,938 | $170.69 | A | 7,538 | D | |
| Common StockF1 | Nov 30, 2018 | D | 1,987 | $252.39 | D | 5,551 | D | |
| Common StockF1 | Nov 30, 2018 | S | 951 | $252.39 | D | 4,600 | D | |
| Common StockF2 | Nov 30, 2018 | S | 1,825 | $252.32 | D | 2,775 | D | |
| Common StockF3 | holding | — | — | — | 126 | I | 401(k) 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 RightsF4 | $134.73 | Nov 30, 2018 | M | 1,413 | D | Nov 25, 2015 | Nov 25, 2024 | Common Stock | 1,413 | 0 | D |
| Stock Appreciation RightsF5 | $150.12 | Nov 30, 2018 | M | 6,054 | D | Nov 26, 2016 | Nov 26, 2025 | Common Stock | 6,054 | 2,020 | D |
| Stock Appreciation RightsF6 | $170.69 | Nov 30, 2018 | M | 2,938 | D | Nov 26, 2017 | Nov 26, 2026 | Common Stock | 2,938 | 2,941 | 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 $252.16 through $252.87. 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 $252.18 through $252.54. 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 401(K) Plan (the "401(k) Plan"). The information presented for the 401(k) Plan is as of July 1, 2018.
- 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.
- F6The stock appreciation rights vest in four annual installments beginning November 26, 2017.