SEC Form 4 · accession 0001225208-16-043118
BARD C R INC /NJ/ · BCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A DeFord
Officer — Sr. VP Sci Tech and Clin Afrs
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 6:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009892
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Dec 9, 2016 | M | 3,292 | $186.425 | A | 24,899 | D | |
| Common Stock | Dec 9, 2016 | S | 3,292 | $215.00 | D | 21,607 | D | |
| Common Stock | Dec 12, 2016 | M | 4,663 | $97.685 | A | 26,270 | D | |
| Common Stock | Dec 12, 2016 | M | 4,161 | $136.37 | A | 30,431 | D | |
| Common Stock | Dec 12, 2016 | M | 3,767 | $168.865 | A | 34,198 | D | |
| Common StockF3 | Dec 12, 2016 | S | 826 | $218.8347 | D | 33,372 | D | |
| Common StockF4 | Dec 12, 2016 | S | 1,977 | $220.377 | D | 31,395 | D | |
| Common StockF5 | Dec 12, 2016 | S | 4,167 | $216.9804 | D | 27,228 | D | |
| Common StockF6 | Dec 12, 2016 | S | 5,621 | $219.6286 | D | 21,607 | D | |
| Common StockF7 | holding | — | — | — | 71 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F8,F9 | $186.425 | Dec 9, 2016 | M | 3,292 | D | — | Dec 9, 2025 | Common Stock | 3,292 | 9,879 | D |
| Option (Right to Buy)F8,F10 | $168.865 | Dec 12, 2016 | M | 3,767 | D | — | Dec 10, 2024 | Common Stock | 3,767 | 7,535 | D |
| Option (Right to Buy)F8,F11 | $136.37 | Dec 12, 2016 | M | 4,161 | D | — | Dec 11, 2023 | Common Stock | 4,161 | 4,161 | D |
| Option (Right to Buy)F8,F12 | $97.685 | Dec 12, 2016 | M | 4,663 | D | — | Dec 12, 2022 | Common Stock | 4,663 | 0 | D |
Explanation of responses
- F1Option exercise and sales are pursuant to a previously disclosed 10b5-1 plan.
- F10Of this option grant 3,767 options vested on December 10, 2016 and the remaining options vest in two annual installments beginning on December 10, 2017.
- F11Of this option grant 4,161 options vested on December 11, 2016 and the remaining options vest on December 11, 2017.
- F12Options fully vested and are currently exercisable.
- F2Includes 0.0632 shares acquired under the Company's Dividend Reinvestment Plan from July 30, 2016 to November 4, 2016. Includes 0.001 shares acquired under the Company's Employee Stock Purchase Plan from August 2, 2016 to November 7, 2016.
- F3Represents the weighted average sales price for price increments ranging from $218.17 to $219.10. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- F4Represents the weighted average sales price for price increments ranging from $220.18 to $220.78. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- F5Represents the weighted average sales price for price increments ranging from $216.62 to $217.23. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- F6Represents the weighted average sales price for price increments ranging from $219.18 to $220.17. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- F7Includes 0.101 shares acquired under the Company's 401(k) Plan from July 30, 2016 to November 4, 2016.
- F8Options granted under 2012 Long Term Incentive Plan of C. R. Bard, Inc. (as Amended and Restated).
- F9Of this option grant 3,292 options vested on December 9, 2016 and the remaining options vest in three annual installments beginning on December 9, 2017.