SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
Roetzel Michael

(Last) (First) (Middle)
2200 DON TYSON PARKWAY

(Street)
SPRINGDALE AR 72762

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/20/2015
3. Issuer Name and Ticker or Trading Symbol
TYSON FOODS INC [ TSN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, Operations Services
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock 902 I Employee Stock Purchase Plan
Class A Common Stock 9,168(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Non-Qualified Stock Options (Right to Buy) 11/28/2012(2) 11/28/2021 Class A Common Stock 4,000 $19.63 D
Non-Qualified Stock Options (Right to Buy) 11/26/2013(2) 11/26/2022 Class A Common Stock 2,666 $19.36 D
Non-Qualified Stock Options (Right to Buy) 11/22/2014(2) 11/22/2023 Class A Common Stock 36,300 $31.82 D
Non-Qualified Stock Options (Right to Buy) 11/21/2015(2) 11/21/2024 Class A Common Stock 44,967 $42.26 D
Performance Shares 11/28/2016(3) 11/28/2016(3) Class A Common Stock 6,625 (3) D
Performance Shares 11/27/2017(4) 11/27/2017(4) Class A Common Stock 7,102 (4) D
Explanation of Responses:
1. Includes 4,519 shares of restricted Class A Common Stock awarded pursuant to the Tyson Foods, Inc. 2000 Stock Incentive Plan scheduled to vest on November 22, 2016. Also includes 4,181 shares of restricted Class A Common Stock awarded pursuant to the Tyson Foods, Inc. 2000 Stock Incentive Plan scheduled to vest on November 21, 2017.
2. 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.
3. Award of Class A Common Stock which vests 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 (the Incentive Agreement) are achieved. The performance metrics are achievement of a three year (fiscal 2014-2016) cumulative EBIT target as set forth in the Incentive Agreement. If the performance metrics are not achieved, the award expires.
4. Award of Class A Common Stock which vests 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 (the Incentive Agreement) are achieved. The performance metrics are achievement of a three year (fiscal 2015-2017) cumulative EBIT target as set forth in the Incentive Agreement. If the performance metrics are not achieved, the award expires.
Remarks:
Michel Roetzel 11/24/2015
** 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 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).
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