Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TYSON FOODS, INC.TSN · Entity 3273 | EVP Operation Services | November 28, 2016 | December 01, 2016 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
TYSON FOODS, INC.
Report date November 28, 2016 · Filed December 01, 2016 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Performance SharesSEC Table II · derivative / convertible security | Direct | 29,003.6 |
Reported balance
After 2016-11-28 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-11-28 · Grant · Acquired 29,003.6 · Balance 29,003.6 F1: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F2: The number of shares was mistakenly reported at the 100% level, but the footnote indicated it was being reported at the 200% level. It is reported here at the 200% level. |
Filing footnotes · ownership attribution and instrument terms
F1: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires.
F2: The number of shares was mistakenly reported at the 100% level, but the footnote indicated it was being reported at the 200% level. It is reported here at the 200% level.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 28, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | GrantPerformance Shares · Derivative | 14,501.8 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · derivative · entry 9 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,501.8 Underlying: Class A Common Stock · 14,501.8 shares Expires not disclosed F11 · derivative.exercise_price: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F11 · kind: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F11 · price: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F11 · derivative.exercise_date: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F11 · derivative.expiration_date: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | GrantNon-Qualified Stock Options (Right to Buy) · Derivative | 31,522 | $58.34 Strike: $58.34 | $1,838,993.48 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · derivative · entry 8 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,522 Underlying: Class A Common Stock · 31,522 shares Expires 2026-11-28 F10 · kind: The stock options vest at 33 1/3% on each of the first, second, and third anniversary dates of the grant. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | Exercise / conversionPerformance Shares · Derivative | 29,164 | $0.00 | $0.00 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · derivative · entry 7 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 29,164 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: On November 22, 2013 the Reporting Person received a grant of 29,164 performance shares which vested (in whole or in part) or expired on November 28, 2016 subject to the achievement of performance metrics in the applicable Stock Incentive Agreement. The performance metrics were (a) a cumulative adjusted earnings before interest and taxes (EBIT) target of $6,344 million for the 2014-2016 fiscal years and (b) a favorable comparison of the Issuer's Class A common stock price relative to the stock prices of a predetermined peer group of publicly traded companies over the 2014-2016 fiscal years. The performance shares could vest at a level of 50%-200% and were previously reported as derivative securities at the 200% level. On November 28, 2016, 22,465.576 shares vested and are reported herein as acquired non-derivatives securities. F4 · derivative.exercise_date: On November 22, 2013 the Reporting Person received a grant of 29,164 performance shares which vested (in whole or in part) or expired on November 28, 2016 subject to the achievement of performance metrics in the applicable Stock Incentive Agreement. The performance metrics were (a) a cumulative adjusted earnings before interest and taxes (EBIT) target of $6,344 million for the 2014-2016 fiscal years and (b) a favorable comparison of the Issuer's Class A common stock price relative to the stock prices of a predetermined peer group of publicly traded companies over the 2014-2016 fiscal years. The performance shares could vest at a level of 50%-200% and were previously reported as derivative securities at the 200% level. On November 28, 2016, 22,465.576 shares vested and are reported herein as acquired non-derivatives securities. F4 · derivative.expiration_date: On November 22, 2013 the Reporting Person received a grant of 29,164 performance shares which vested (in whole or in part) or expired on November 28, 2016 subject to the achievement of performance metrics in the applicable Stock Incentive Agreement. The performance metrics were (a) a cumulative adjusted earnings before interest and taxes (EBIT) target of $6,344 million for the 2014-2016 fiscal years and (b) a favorable comparison of the Issuer's Class A common stock price relative to the stock prices of a predetermined peer group of publicly traded companies over the 2014-2016 fiscal years. The performance shares could vest at a level of 50%-200% and were previously reported as derivative securities at the 200% level. On November 28, 2016, 22,465.576 shares vested and are reported herein as acquired non-derivatives securities. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | GrantClass A Common Stock | 7,250.9 | $0.00 | $0.00 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · nonDerivative · entry 6 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,062.957 F8 · kind: Award of Class A Common Stock which vests on November 18, 2019 if the performance metric described in the applicable Stock Incentive Agreement is achieved. The performance metric is achievement of a three year (fiscal 2017-2019) cumulative EBIT target as set forth in the Stock Incentive Agreement. If the performance metric is not achieved, the award expires. F9 · balance_after: Includes 7,840.583 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; 8,513.437 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; and 7,250.9 shares of Class A Common Stock which vest on November 18, 2019 if the performance metric described in the applicable Stock Incentive Agreement is achieved. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | Tax withholdingClass A Common Stock | 4,577 | $0.00 | $0.00 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · nonDerivative · entry 5 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,812.057 F6 · kind: On November 28, 2016, 9,368.014 shares of restricted Class A Common Stock vested. These shares were previously reported as beneficially owned by the Reporting Person. Pursuant to an election made by the Reporting Person, 4,577 shares were sold by the Reporting Person to the Issuer on November 28, 2016, to satisfy tax withholding obligations. F7 · balance_after: Includes 7,840.583 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 8,513.437 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. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | Exercise / conversionClass A Common Stock | 22,465.576 | $0.00 | $0.00 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · nonDerivative · entry 3 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,365.057 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: On November 22, 2013 the Reporting Person received a grant of 29,164 performance shares which vested (in whole or in part) or expired on November 28, 2016 subject to the achievement of performance metrics in the applicable Stock Incentive Agreement. The performance metrics were (a) a cumulative adjusted earnings before interest and taxes (EBIT) target of $6,344 million for the 2014-2016 fiscal years and (b) a favorable comparison of the Issuer's Class A common stock price relative to the stock prices of a predetermined peer group of publicly traded companies over the 2014-2016 fiscal years. The performance shares could vest at a level of 50%-200% and were previously reported as derivative securities at the 200% level. On November 28, 2016, 22,465.576 shares vested and are reported herein as acquired non-derivatives securities. F2 · balance_after: Includes 9,368.014 shares of Class A Common Stock which vested as described in footnote 6; 7,840.583 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 8,513.437 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. Read SEC document |
| November 28, 2016 Filed Dec 1, 2016 22:55 UTC Amendment | TYSON FOODS, INC. TSN · Entity 3273 | GrantPerformance Shares · Derivative | 29,003.6 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000100493-16-000325 · wf-form4a_148063291726925.xml · derivative · entry 1 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,003.6 Underlying: Class A Common Stock · 29,003.6 shares Expires not disclosed F1 · derivative.exercise_price: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F1 · kind: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F2 · shares: The number of shares was mistakenly reported at the 100% level, but the footnote indicated it was being reported at the 200% level. It is reported here at the 200% level. F1 · price: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F1 · derivative.exercise_date: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. F1 · derivative.expiration_date: Award of performance Class A Common Stock which vests on November 18, 2019 if the performance metrics described in the applicable Stock Incentive Agreement are achieved. The performance metrics set forth in the Stock Incentive Agreement are (1) achievement of a three year (fiscal 2017-2019) cumulative EBIT target and (2) a favorable comparison of the relative total shareholder return of the Issuer's Class A Common Stock compared to a predetermined peer group of publicly traded companies over a three year (fiscal 2017-2019) period. Subject to the achievement of the performance metrics, the performance shares could vest at a level of 50%-200% and are reported as derivative securities at the 200% level. If neither of the performance metrics are achieved, the award expires. Read SEC document |
| November 17, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | OtherClass A Common Stock | 377.703 | $0.00 | $0.00 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · nonDerivative · entry 2 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Indirect · Employee Stock Purchase Plan Disclosed balance after: 6,696.6407 F3 · kind: 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. Read SEC document |
| September 20, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | Tax withholdingClass A Common Stock | 10,976 | $0.00 | $0.00 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · nonDerivative · entry 4 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,389.057 F5 · kind: Pursuant to an election made by the Reporting Person, 10,976 shares were sold by the Reporting Person to the Issuer on November 28, 2016, to satisfy tax withholding obligations related to the vesting described in footnote 4. F2 · balance_after: Includes 9,368.014 shares of Class A Common Stock which vested as described in footnote 6; 7,840.583 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 8,513.437 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. Read SEC document |
| September 20, 2016 Filed Nov 30, 2016 20:21 UTC | TYSON FOODS, INC. TSN · Entity 3273 | OtherClass A Common Stock | 116.013 | $0.00 | $0.00 |
DisclosureSEC source: 0000100493-16-000288 · wf-form4_148053727021812.xml · nonDerivative · entry 1 Carper Howell P · CIK 0001592292 · EVP Operation Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,899.481 F1 · kind: 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. F2 · balance_after: Includes 9,368.014 shares of Class A Common Stock which vested as described in footnote 6; 7,840.583 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 8,513.437 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.