SEC Form 4 · accession 0001225208-17-017211
DuPont de Nemours, Inc. · DD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Fitterling
Officer — Chief Operating Officer-MatCo
Period of report
Nov 9, 2017
Accepted (ET)
Nov 13, 2017 · 4:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001666700
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 9, 2017 | M | 61,830 | $34.00 | A | 473,788 | D | |
| Common Stock | Nov 9, 2017 | M | 22,170 | $32.16 | A | 495,958 | D | |
| Common Stock | Nov 9, 2017 | F | 5,610 | $71.105 | D | 490,348 | D | |
| Common Stock | Nov 9, 2017 | F | 10,028 | $71.105 | D | 480,320 | D | |
| Common Stock | Nov 9, 2017 | F | 14,907 | $71.105 | D | 465,413 | D | |
| Common Stock | Nov 9, 2017 | F | 29,566 | $71.105 | D | 435,847 | D | |
| Common Stock | holding | — | — | — | 1,670 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 4,378 | I | By 401(k) Plan ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy)F2,F3 | $34.00 | Nov 9, 2017 | M | 61,830 | D | — | Feb 10, 2022 | Common Stock | 61,830 | 0 | D |
| Non-Qualified Stock Option (Right to Buy)F4,F5 | $32.16 | Nov 9, 2017 | M | 22,170 | D | — | Feb 15, 2023 | Common Stock | 22,170 | 188,710 | D |
Explanation of responses
- F1Shares withheld pursuant to tax withholding rights under award and option plans in a transaction exempt under Rule 16b-3.
- F2Granted under The Dow Chemical Company Amended and Restated 1988 Award and Option Plan. The Plan provides for tax withholding rights.
- F3The options vested in three annual installments beginning on February 10, 2013.
- F4Granted under The Dow Chemical Company Amended and Restated 2012 Stock Incentive Plan. The Plan provides for tax withholding rights.
- F5The options vested in three annual installments beginning on February 15, 2014.