SEC Form 4 · accession 0001225208-15-012085
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Fitterling
Officer — Vice Chair-Business Operations
Period of report
May 12, 2015
Accepted (ET)
May 14, 2015 · 1:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000029915
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common | May 12, 2015 | M | 18,610 | $43.675 | A | 215,283 | D | |
| Common | May 12, 2015 | F | 1,336 | $51.71 | D | 213,947 | D | |
| Common | May 12, 2015 | F | 15,719 | $51.71 | D | 198,228 | D | |
| Common | holding | — | — | — | 1,217 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 3,476 | 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)F2,F3 | $43.675 | May 12, 2015 | M | 18,610 | D | — | Mar 1, 2016 | Common | 18,610 | 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.
- F2Granted under The Dow Chemical Company 1988 Award and Option Plan. The Plan provides for tax withholding rights.
- F3The options vested in three equal annual installments beginning on March 1, 2007.