FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
TYSON FOODS INC [ TSN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/17/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 09/17/2003 | M | 2,000 | A | $0 | 215,914 | D | |||
Class A Common Stock | 09/17/2003 | S | 2,000 | D | $13.12 | 213,914 | D | |||
Class A Common Stock | 09/18/2003 | S | 1,797 | D | $13.21 | 212,117 | D | |||
Class A Common Stock | 09/18/2003 | M | 1,797 | A | $0 | 213,914 | D | |||
Class A Common Stock | 11,621 | I | By ESPP(1) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $5.11 | 09/17/2003 | M | 2,000 | (2) | 10/01/2003 | Class A Common Stock | 2,000 | $0 | 1,797 | D | ||||
Non-Qualified Stock Option (right to buy) | $5.11 | 09/18/2003 | M | 1,797 | (2) | 10/01/2003 | Class A Common Stock | 1,797 | $0 | 0 | D | ||||
Incentive Stock Option (right to buy) | $6.64 | (2) | 03/01/2005 | Class A Common Stock | 2 | 2 | D | ||||||||
Incentive Stock Option (right to buy) | $10.65 | (2) | 12/22/2005 | Class A Common Stock | 14,016 | 14,016 | D | ||||||||
Incentive Stock Option (right to buy) | $9.97 | (2) | 10/01/2006 | Class A Common Stock | 4,285 | 4,285 | D | ||||||||
Incentive Stock Option (right to buy) | $9.76 | (2) | 03/01/2007 | Class A Common Stock | 4,762 | 4,762 | D | ||||||||
Incentive Stock Option (right to buy) | $8.68 | (2) | 12/24/2007 | Class A Common Stock | 1,244 | 1,244 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $6.87 | (2) | 10/01/2004 | Class A Common Stock | 6,383 | 6,383 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $6.64 | (2) | 03/01/2005 | Class A Common Stock | 13,029 | 13,029 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $10.65 | (2) | 12/22/2005 | Class A Common Stock | 28,842 | 28,842 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $9.97 | (2) | 10/01/2006 | Class A Common Stock | 17,144 | 17,144 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $9.76 | (2) | 03/01/2007 | Class A Common Stock | 7,143 | 7,143 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $8.68 | (2) | 12/24/2007 | Class A Common Stock | 27,328 | 27,328 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $6.95 | (2) | 08/31/2008(4) | Class A Common Stock | 28,572 | 28,572 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $6.19 | (2) | 02/01/2010 | Class A Common Stock | 16,667 | 16,667 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $5.43 | (2) | 02/18/2010 | Class A Common Stock | 38,572 | 38,572 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $10.5 | (2) | 06/28/2011 | Class A Common Stock | 28,402 | 28,402 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $9.32 | 10/15/2003(2) | 10/15/2011 | Class A Common Stock | 16,200 | 16,200 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $9.64 | 10/10/2004(3) | 10/10/2012 | Class A Common Stock | 16,200 | 16,200 | D |
Explanation of Responses: |
1. Includes 7,225 Shares purchased from 10-01-02 thru 08-29-03, for the reporting person's account under the Tyson Foods, Inc. Employee Stock Purchase Plan which transactions are exempt under Section 16(b)(3). |
2. All options granted prior to the closing of the tender offer for IBP vested on 7/23/01. For all other options, 40% of the options are exercisable two years after the grant date (the date listed above represents the date 40% become exercisable), and an additional 20% vest in each of the following three years. After 5 years 100% of the options are exercisable. |
3. The Stock Option vests at 40% on 10-10-04 and 20% each year thereafter for 3 years. |
4. The expiration date was incorrectly reported due to a clerical error. The expiration date should be 08-31-2008. |
Remarks: |
/s/ Leman, Eugene D. | 09/18/2003 | |
** 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 4 (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. |