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TYSON FOODS, INC. — Director's Dealing 2016
Mar 28, 2016
30292_dirs_2016-03-28_9140935e-90ed-40c7-b56c-4d096cb1d133.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: TYSON FOODS INC (TSN)
CIK: 0000100493
Period of Report: 2015-12-16
Reporting Person: VAN BEBBER DAVID L (EVP & General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-12-16 | Class A Common Stock | G | 3000 | — | Disposed | 171996.8242 | Direct |
| 2015-12-17 | Class A Common Stock | G | 1000 | — | Disposed | 170996.8242 | Direct |
| 2016-01-06 | Class A Common Stock | G | 750 | — | Disposed | 170246.8242 | Direct |
| 2016-03-15 | Class A Common Stock | J | 124.38 | — | Acquired | 170371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | J | 416.6037 | — | Acquired | 2866.1044 | Indirect |
| 2016-03-24 | Class A Common Stock | M | 10000 | $4.90 | Acquired | 180371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | S | 10000 | $67.207 | Disposed | 170371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | M | 10000 | $12.02 | Acquired | 180371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | S | 10000 | $67.174 | Disposed | 170371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | M | 10000 | $16.19 | Acquired | 180371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | S | 10000 | $67.141 | Disposed | 170371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | M | 10000 | $19.63 | Acquired | 180371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | S | 10000 | $66.961 | Disposed | 170371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | M | 15800 | $19.36 | Acquired | 186171.2042 | Direct |
| 2016-03-24 | Class A Common Stock | S | 15800 | $66.847 | Disposed | 170371.2042 | Direct |
| 2016-03-24 | Class A Common Stock | M | 19667 | $31.82 | Acquired | 190038.2042 | Direct |
| 2016-03-24 | Class A Common Stock | S | 19667 | $66.743 | Disposed | 170371.2042 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-03-24 | Non-Qualified Stock Options (Right to Buy) | $4.9 | M | 10000 | Disposed | 2018-11-14 | Class A Common Stock (10000.0) | Direct |
| 2016-03-24 | Non-Qualified Stock Options (Right to Buy) | $12.02 | M | 10000 | Disposed | 2019-11-30 | Class A Common Stock (10000.0) | Direct |
| 2016-03-24 | Non-Qualified Stock Options (Right to Buy) | $16.19 | M | 10000 | Disposed | 2020-11-29 | Class A Common Stock (10000.0) | Direct |
| 2016-03-24 | Non-Qualified Stock Options (Right to Buy) | $19.63 | M | 10000 | Disposed | 2021-11-28 | Class A Common Stock (10000.0) | Direct |
| 2016-03-24 | Non-Qualified Stock Options (Right to Buy) | $19.36 | M | 15800 | Disposed | 2022-11-26 | Class A Common Stock (15800.0) | Direct |
| 2016-03-24 | Non-Qualified Stock Options (Right to Buy) | $31.82 | M | 19667 | Disposed | 2023-11-22 | Class A Common Stock (19667.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 1150 | Indirect |
Footnotes
F1: Includes 9,304.909 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2016 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved; Includes 6,949.233 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2017 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved; and, includes 8,456.088 shares of Class A Common Stock which vest on December 1, 2018 if the performance metrics described in the applicable Stock Incentive Agreement are achieved.
F2: Represents shares of the Issuer's Class A Common Stock received by the Reporting Person pursuant to the Issuer's dividend reinvestment plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 concurrent reporting requirements pursuant to Rule 16a-11.
F3: Includes 9,325.7619 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2016 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved; Includes 6,964.8073 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2017 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved; and, includes 8,475.039 shares of Class A Common Stock which vest on December 1, 2018 if the performance metrics described in the applicable Stock Incentive Agreement are achieved.
F4: Represents shares of the Issuer's Class A Common Stock purchased for the Reporting Person's account under the Issuer's Employee Stock Purchase Plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 concurrent reporting requirements pursuant to Rule 16b-3.
F5: This is a weighted average price. These shares were sold in multiple transactions on March 24, 2016 at prices ranging from $66.92 to $67.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F6: This is a weighted average price. These shares were sold in multiple transactions on March 24, 2016 at prices ranging from $66.93 to $67.31, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F7: This is a weighted average price. These shares were sold in multiple transactions on March 24, 2016 at prices ranging from $67.06 to $67.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F8: This is a weighted average price. These shares were sold in multiple transactions on March 24, 2016 at prices ranging from $66.80 to $67.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F9: This is a weighted average price. These shares were sold in multiple transactions on March 24, 2016 at prices ranging from $66.79 to $66.93, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F10: This is a weighted average price. These shares were sold in multiple transactions on March 24, 2016 at prices ranging from $66.70 to $66.82, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.