SEC Form 4 · accession 0001225208-17-002785
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
Feb 8, 2017
Accepted (ET)
Feb 10, 2017 · 4:52 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 | Feb 8, 2017 | M | 85,300 | $34.00 | A | 304,190 | D | |
| Common | Feb 8, 2017 | M | 7,700 | $27.79 | A | 311,890 | D | |
| Common | Feb 8, 2017 | F | 1,908 | $59.935 | D | 309,982 | D | |
| Common | Feb 8, 2017 | F | 3,571 | $59.935 | D | 306,411 | D | |
| Common | Feb 8, 2017 | F | 14,671 | $59.935 | D | 291,740 | D | |
| Common | Feb 8, 2017 | F | 48,390 | $59.935 | D | 243,350 | D | |
| Common | holding | — | — | — | 1,519 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 4,006 | 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 | $34.00 | Feb 8, 2017 | M | 85,300 | D | — | Feb 10, 2022 | Common | 85,300 | 61,830 | D |
| Non-Qualified Stock Option (right to buy)F2,F4 | $27.79 | Feb 8, 2017 | M | 7,700 | D | — | Feb 12, 2020 | Common | 7,700 | 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 10, 2013.
- F4The options vest in three equal annual installments beginning on February 12, 2011.