SEC Form 4 · accession 0001225208-17-002175
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald C Edmonds
Officer — Vice President and Controller
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 4:18 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 |
|---|---|---|---|---|---|---|---|---|
| Common | Jan 30, 2017 | M | 31,800 | $27.79 | A | 113,185 | D | |
| Common | Jan 30, 2017 | F | 5,743 | $61.475 | D | 107,442 | D | |
| Common | Jan 30, 2017 | F | 14,376 | $61.475 | D | 93,066 | D | |
| Common | holding | — | — | — | 3,205 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 4,195 | I | By 401(k) Plan ESOP | |
| Common | holding | — | — | — | 100 | I | By Spouse | |
| Common | holding | — | — | — | 92 | 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)F2,F3 | $27.79 | Jan 30, 2017 | M | 31,800 | D | — | Feb 12, 2020 | Common | 31,800 | 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.