SEC Form 4 · accession 0001225208-18-010626
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 11, 2018
Accepted (ET)
Jun 13, 2018 · 5:38 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 11, 2018 | M | 73,902 | $9.53 | A | 461,520 | D | |
| Common StockF1,F2 | Jun 11, 2018 | S | 73,902 | $69.566 | D | 387,618 | D | |
| Common Stock | Jun 12, 2018 | M | 26,098 | $9.53 | A | 413,716 | D | |
| Common StockF1,F3 | Jun 12, 2018 | S | 26,098 | $69.58 | 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)F4,F5 | $9.53 | Jun 11, 2018 | M | 73,902 | D | — | Feb 13, 2019 | Common Stock | 73,902 | 366,792 | D |
| Non-Qualified Stock Option (Right to Buy)F4,F5 | $9.53 | Jun 12, 2018 | M | 26,098 | D | — | Feb 13, 2019 | Common Stock | 26,098 | 340,694 | 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 $69.55 to $69.60.
- F3The price represents the weighted average sale price. All sales occurred at a range of $69.55 to $69.65.
- F4Granted under The Dow Chemical Company Amended and Restated 1988 Award and Option Plan. The Plan provides for tax withholding rights.
- F5The options vested in three annual installments beginning on February 13, 2010.