SEC Form 4 · accession 0001225208-17-002233
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard I Ungerleider
Officer — Vice Chairman & CFO
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 3:38 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 31, 2017 | M | 23,510 | $43.59 | A | 83,150 | D | |
| Common | Jan 31, 2017 | F | 2,066 | $60.365 | D | 81,084 | D | |
| Common | Jan 31, 2017 | F | 16,977 | $60.365 | D | 64,107 | D | |
| Common | holding | — | — | — | 251 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 2,389 | I | By 401(k) Plan ESOP | |
| Common | holding | — | — | — | 86,939 | 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 31, 2017 | M | 23,510 | D | — | Feb 16, 2017 | Common | 23,510 | 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.