SEC Form 4 · accession 0001225208-17-002177
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew N Liveris
Officer — CEO and Chairman · Director
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 4:20 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 | 460,000 | $43.59 | A | 651,710 | D | |
| Common | Jan 30, 2017 | F | 59,647 | $61.475 | D | 592,063 | D | |
| Common | Jan 30, 2017 | F | 326,172 | $61.475 | D | 265,891 | D | |
| Common | holding | — | — | — | 1,584 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 3,302 | I | By 401(k) Plan ESOP | |
| Common | holding | — | — | — | 744,300 | 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 | $43.59 | Jan 30, 2017 | M | 460,000 | D | — | Feb 16, 2017 | Common | 460,000 | 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 16, 2008.