SEC Form 4 · accession 0001225208-18-003047
DuPont de Nemours, Inc. · DD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard I Ungerleider
Officer — Chief Financial Officer
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 5:14 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 | Feb 13, 2018 | M | 30,750 | $38.62 | A | 225,396 | D | |
| Common Stock | Feb 13, 2018 | F | 4,134 | $71.11 | D | 221,262 | D | |
| Common Stock | Feb 13, 2018 | J | 9,915 | $0.00 | D | 211,347 | D | |
| Common Stock | Feb 13, 2018 | F | 16,701 | $71.11 | D | 194,646 | D | |
| Common Stock | Feb 13, 2018 | J | 9,915 | $0.00 | A | 114,303 | I | By Trust |
| Common Stock | holding | — | — | — | 347 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 2,763 | 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)F3,F4 | $38.62 | Feb 13, 2018 | M | 30,750 | D | — | Feb 15, 2018 | Common Stock | 30,750 | 0 | D |
Explanation of responses
- F1Shares withheld pursuant to tax withholding rights under award and option plans in a transaction exempt under Rule 16b-3.
- F2Change in nature of ownership.
- 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.