SEC Form 4 · accession 0001225208-17-016427
BARD C R INC /NJ/ · BCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Lupisella Jr.
Officer — Vice President and Controller
Period of report
Oct 18, 2017
Accepted (ET)
Oct 20, 2017 · 10:14 am EDT
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 | Oct 18, 2017 | M | 5,710 | $97.685 | A | 15,879 | D | |
| Common Stock | Oct 18, 2017 | M | 3,463 | $84.575 | A | 19,342 | D | |
| Common StockF3 | Oct 18, 2017 | S | 9,173 | $325.0002 | D | 10,169 | D | |
| Common StockF4 | holding | — | — | — | 1,100 | 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)F5,F6 | $97.685 | Oct 18, 2017 | M | 5,710 | D | — | Dec 12, 2022 | Common Stock | 5,710 | 0 | D |
| Option (Right to Buy)F7,F6 | $84.575 | Oct 18, 2017 | M | 3,463 | D | — | Dec 14, 2021 | Common Stock | 3,463 | 0 | D |
Explanation of responses
- F1Option exercise and sales are pursuant to a previously disclosed 10b5-1 plan.
- F2Includes 0.0015 shares acquired under the Company's Dividend Reinvestment Plan from February 4, 2017 to August 4, 2017. Includes 30.361 shares acquired under the Company's Employee Stock Purchase Plan from February 7, 2017 to August 7, 2017.
- F3Represents the weighted average sales price for price increments ranging from $325.00 to $325.02. 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.
- F4Includes 0.566 shares acquired under the Company's 401(k) Plan from February 4, 2017 to August 4, 2017.
- F5Options granted under 2012 Long Term Incentive Plan of C. R. Bard, Inc. (as Amended and Restated).
- F6Options fully vested and are currently exercisable.
- F7Options granted under 2003 Long Term Incentive Plan of C. R. Bard, Inc. (as Amended and Restated).