SEC Form 4 · accession 0001225208-17-002176
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Holicki
Officer — Senior Vice President
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 | 7,360 | $38.62 | A | 77,541 | D | |
| Common | Jan 30, 2017 | M | 6,750 | $43.59 | A | 84,291 | D | |
| Common | Jan 30, 2017 | F | 575 | $61.475 | D | 83,716 | D | |
| Common | Jan 30, 2017 | F | 801 | $61.475 | D | 82,915 | D | |
| Common | Jan 30, 2017 | F | 4,624 | $61.475 | D | 78,291 | D | |
| Common | Jan 30, 2017 | F | 4,787 | $61.475 | D | 73,504 | D |
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 | $38.62 | Jan 30, 2017 | M | 7,360 | D | — | Feb 15, 2018 | Common | 7,360 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2,F4 | $43.59 | Jan 30, 2017 | M | 6,750 | D | — | Feb 16, 2017 | Common | 6,750 | 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 February 15, 2009.
- F4The options vested in three equal annual installments beginning on February 16, 2008.