SEC Form 4 · accession 0001225208-18-009783
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
May 21, 2018
Accepted (ET)
May 23, 2018 · 4:59 pm EDT
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 | May 21, 2018 | M | 100,000 | $9.53 | A | 487,618 | D | |
| Common StockF1,F2 | May 21, 2018 | S | 100,000 | $68.50 | D | 387,618 | D | |
| Common Stock | holding | — | — | — | 1,783 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 4,071 | I | By 401(k) Plan ESOP | |
| Common Stock | holding | — | — | — | 799,274 | 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 | $9.53 | May 21, 2018 | M | 100,000 | D | — | Feb 13, 2019 | Common Stock | 100,000 | 709,100 | 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.
- F2All sales occurred at a price of $68.50.
- 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 13, 2010.