SEC Form 4 · accession 0001225208-16-026760
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Fitterling
Officer — President & COO
Period of report
Feb 12, 2016
Accepted (ET)
Feb 17, 2016 · 4:03 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1,F2 | Feb 12, 2016 | A | 25,810 | $0.00 | A | 224,038 | D | |
| Common | holding | — | — | — | 1,332 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 3,473 | 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)F1,F3 | $46.01 | Feb 12, 2016 | A | 130,140 | A | — | Feb 12, 2026 | Common | 130,140 | 130,140 | D |
Explanation of responses
- F1Granted under The Dow Chemical Company 2012 Stock Incentive Plan. The Plan provides for tax withholding rights.
- F2Deferred shares to be delivered in one installment on or about February 12, 2019 contingent upon continuation of employment.
- F3The options vest in three equal annual installments beginning on February 12, 2017.