UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Appreciation Rights | 09/02/2015(2) | 09/02/2024 | Common Stock | 3,093 | $ 97.14 | D | Â |
Stock Appreciation Rights | 12/10/2015(3) | 12/10/2024 | Common Stock | 3,613 | $ 110.04 | D | Â |
Stock Appreciation Rights | 12/09/2016(4) | 12/09/2025 | Common Stock | 7,076 | $ 121.49 | D | Â |
Stock Appreciation Rights | 12/14/2017(5) | 12/14/2026 | Common Stock | 9,377 | $ 143.07 | D | Â |
Stock Appreciation Rights | 01/02/2019(6) | 01/02/2028 | Common Stock | 10,245 | $ 217.84 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Larson Betty D C/O BECTON, DICKINSON AND COMPANY 1 BECTON DRIVE FRANKLIN LAKES, NJ 07417 |
 |  |  EVP HR & CHRO |  |
Richard Stout, by power of attorney for Betty D. Larson | 07/09/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan. |
(2) | The stock appreciation rights vest in four annual installments beginning September 2, 2015. |
(3) | The stock appreciation rights vest in four annual installments beginning December 10, 2015. |
(4) | The stock appreciation rights vest in four annual installments beginning December 9, 2016. |
(5) | The stock appreciation rights vest in four annual installments beginning December 14, 2017. |
(6) | The stock appreciation rights vest in four annual installments beginning January 2, 2019. |