SEC Form 4 · accession 0001225208-16-031600
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
Apr 18, 2016
Accepted (ET)
Apr 20, 2016 · 4:19 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 | Apr 18, 2016 | M | 39,050 | $43.59 | A | 252,890 | D | |
| Common | Apr 18, 2016 | M | 36,000 | $27.79 | A | 288,890 | D | |
| Common | Apr 18, 2016 | F | 2,999 | $52.28 | D | 285,891 | D | |
| Common | Apr 18, 2016 | F | 7,792 | $52.28 | D | 278,099 | D | |
| Common | Apr 18, 2016 | F | 19,137 | $52.28 | D | 258,962 | D | |
| Common | Apr 18, 2016 | F | 32,560 | $52.28 | D | 226,402 | D | |
| Common | holding | — | — | — | 1,385 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 3,701 | 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 | $27.79 | Apr 18, 2016 | M | 36,000 | D | — | Feb 12, 2020 | Common | 36,000 | 7,700 | D |
| Non-Qualified Stock Option (right to buy)F2,F4 | $43.59 | Apr 18, 2016 | M | 39,050 | D | — | Feb 16, 2017 | Common | 39,050 | 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 vest in three equal annual installments beginning on February 12, 2011.
- F4The options vested in three equal annual installments beginning on February 16, 2008.