3: Initial statement of beneficial ownership of securities
Published on October 12, 2011
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/03/2011 |
3. Issuer Name and Ticker or Trading Symbol
BECTON DICKINSON & CO [ BDX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4,077(1) | D | |
Common Stock | 1,286 | I | SIP Trust(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Appreciation Rights | 11/21/2007(3) | 11/21/2016 | Common Stock | 5,894 | 71.72 | D | |
Stock Appreciation Rights | 11/20/2008(4) | 11/20/2017 | Common Stock | 5,768 | 84.33 | D | |
Stock Appreciation Rights | 11/25/2009(5) | 11/25/2018 | Common Stock | 8,228 | 62.5 | D | |
Stock Appreciation Rights | 11/24/2010(6) | 11/24/2019 | Common Stock | 9,224 | 75.63 | D | |
Stock Appreciation Rights | 11/23/2011(7) | 11/23/2020 | Common Stock | 9,818 | 76.64 | D |
Explanation of Responses: |
1. Includes 1,373 restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan. |
2. Represents 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 September 30, 2011. |
3. The stock appreciation rights vest in four annual installments beginning November 21, 2007. |
4. The stock appreciation rights vest in four annual installments beginning November 20, 2008. |
5. The stock appreciation rights vest in four annual installments beginning November 25, 2009. |
6. The stock appreciation rights vest in four annual installments beginning November 24, 2010. |
7. The stock appreciation rights vest in four annual installments beginning November 23, 2011. |
Remarks: |
Richard Stout, by power of attorney for William E. Rhodes | 10/12/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |