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 | ||||
Non-Qualified Stock Options (Right to Buy) | 11/14/2010(2) | 11/14/2018 | Class A Common Stock | 8,000 | $ 4.9 | D | Â |
Non-Qualified Stock Options (Right to Buy) | 11/29/2011(3) | 11/29/2020 | Class A Common Stock | 13,333 | $ 16.19 | D | Â |
Non-Qualified Stock Options (Right to Buy) | 11/28/2012(3) | 11/28/2021 | Class A Common Stock | 26,666 | $ 19.63 | D | Â |
Non-Qualified Stock Options (Right to Buy) | 11/26/2013(3) | 11/26/2022 | Class A Common Stock | 36,300 | $ 19.36 | D | Â |
Performance Shares | Â (4) | Â (4) | Class A Common Stock | 23,347 | $ (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carper Howell P 2200 DON TYSON PARKWAY SPRINGDALE, AR 72762 |
 |  |  EVP Strategy and New Ventures |  |
Howell P. Carper | 11/20/2013 | |
**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 7,393 shares of restricted Class A Common Stock awarded pursuant to the Tyson Foods, Inc. 2000 Stock Incentive Plan scheduled to vest on November 26, 2015. |
(2) | These options are vested. |
(3) | The stock options vest at 33 1/3% on the first anniversary date of the grant and 33 1/3% for each of the following two years. |
(4) | Award of performance Class A Common Stock on November 26, 2012 which vests on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2015 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement (the "Incentive Agreement") are achieved. The performance metrics are (1) achievement of a three year (fiscal 2013-2015) cumulative EBIT target as set forth in the Incentive Agreement and (2) a comparison of the market price of the Issuer's Class A Common Stock to a peer group of publicly traded companies selected by the Compensation Committee of the Board of Directors of Issuer over a three year (fiscal 2013-2015) period, as more particularly described in the Incentive Agreement. If neither of the performance metrics is achieved, the award expires. |