SEC Form 4 · accession 0001225208-17-018911
DuPont de Nemours, Inc. · DD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew N Liveris
Other
Period of report
Dec 15, 2017
Accepted (ET)
Dec 19, 2017 · 4:44 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 | Dec 15, 2017 | M | 9,664 | $38.62 | A | 659,600 | D | |
| Common StockF1,F2 | Dec 15, 2017 | S | 9,664 | $70.1019 | D | 649,936 | D | |
| Common Stock | holding | — | — | — | 1,719 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 3,668 | I | By 401(k) Plan ESOP | |
| Common Stock | holding | — | — | — | 682,825 | I | By Trust |
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)F3,F4 | $38.62 | Dec 15, 2017 | M | 9,664 | D | — | Feb 15, 2018 | Common Stock | 9,664 | 163,999 | D |
Explanation of responses
- F1The number of shares are aggregated for sales occurring within a $1.00 price range on the same date. Reporting Person agrees to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2The price represents the weighted average sale price. All sales occurred at a range of $71.10 to $71.11.
- F3Granted under The Dow Chemical Company Amended and Restated 1988 Award and Option Plan. The Plan provides for tax withholding rights.
- F4The options vested in three annual installments beginning on February 15, 2009.