SEC Form 4 · accession 0001225208-17-003207
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joe E Harlan
Officer — Vice Chair-Chief Comm Officer
Period of report
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 4:13 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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1,F2 | Feb 10, 2017 | A | 13,900 | $0.00 | A | 188,499 | D | |
| Common | holding | — | — | — | 171 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 1,981 | 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)F1,F3 | $61.19 | Feb 10, 2017 | A | 70,640 | A | — | Feb 10, 2027 | Common | 70,640 | 70,640 | D |
Explanation of responses
- F1Granted under The Dow Chemical Company 2012 Stock Incentive Plan. The Plan provides for tax withholding rights.
- F2Deferred shares to be delivered in one installment on or about February 10, 2020 contingent upon continuation of employment.
- F3The options vest in three equal annual installments beginning on February 10, 2018.