SEC Form 4 · accession 0001225208-19-002605
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 12, 2019
Accepted (ET)
Feb 14, 2019 · 7:08 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 StockF2 | Feb 12, 2019 | F | 6,533 | $53.36 | D | 197,806 | D | |
| Common Stock | Feb 13, 2019 | M | 2,788 | $9.53 | A | 200,594 | D | |
| Common Stock | Feb 13, 2019 | F | 1,498 | $53.14 | D | 199,096 | D | |
| Common Stock | holding | — | — | — | 423 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 2,780 | I | By 401(k) Plan ESOP | |
| Common Stock | holding | — | — | — | 126,857 | 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 | Feb 13, 2019 | M | 2,788 | D | — | Feb 13, 2019 | Common Stock | 2,788 | 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.
- F2Shares used to satisfy withholding taxes on delivery of deferred stock granted February 12, 2016 as previously reported.
- 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.