SEC Form 4 · accession 0001225208-18-010428
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
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 6:02 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 | Jun 6, 2018 | M | 100,000 | $9.53 | A | 487,618 | D | |
| Common Stock | Jun 6, 2018 | M | 100,000 | $9.53 | A | 587,618 | D | |
| Common StockF1,F2 | Jun 6, 2018 | S | 100,000 | $69.277 | D | 487,618 | D | |
| Common StockF1,F3 | Jun 6, 2018 | S | 100,000 | $68.207 | D | 387,618 | D | |
| Common Stock | Jun 7, 2018 | M | 68,406 | $9.53 | A | 456,024 | D | |
| Common StockF1,F4 | Jun 7, 2018 | S | 68,406 | $69.50 | 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)F5,F6 | $9.53 | Jun 6, 2018 | M | 100,000 | D | — | Feb 13, 2019 | Common Stock | 100,000 | 609,100 | D |
| Non-Qualified Stock Option (Right to Buy)F5,F6 | $9.53 | Jun 6, 2018 | M | 100,000 | D | — | Feb 13, 2019 | Common Stock | 100,000 | 509,100 | D |
| Non-Qualified Stock Option (Right to Buy)F5,F6 | $9.53 | Jun 7, 2018 | M | 68,406 | D | — | Feb 13, 2019 | Common Stock | 68,406 | 440,694 | 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 $69.25 to $69.49.
- F3The price represents the weighted average sale price. All sales occurred at a range of $68.20 to 68.24.
- F4All trades occurred at a price of $69.50.
- F5Granted under The Dow Chemical Company Amended and Restated 1988 Award and Option Plan. The Plan provides for tax withholding rights.
- F6The options vested in three annual installments beginning on February 13, 2010.