SEC Form 4 · accession 0001225208-16-028224
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fernando Ruiz
Officer — Corporate VP & Treasurer
Period of report
Feb 23, 2016
Accepted (ET)
Feb 25, 2016 · 2:58 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 23, 2016 | A | 20,518 | $0.00 | A | 65,346 | D | |
| Common | Feb 23, 2016 | F | 7,653 | $46.98 | D | 57,693 | D | |
| Common | holding | — | — | — | 8,051 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 3,608 | I | By 401(k) Plan ESOP | |
| Common | holding | — | — | — | 108,249 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Granted under The Dow Chemical Company 2012 Stock Incentive Plan. The Plan provides for tax withholding rights.
- F22013 Performance Shares vested upon meeting or exceeding specified Company performance criteria between January 1, 2013 and December 31, 2015. Performance shares earned were settled in cash or stock at the election of the reporting person, and delivered in one installment on February 23, 2016.
- F3Shares withheld pursuant to tax withholding rights under award and option plans in a transaction exempt under Rule 16b-3.