SEC Form 4 · accession 0001225208-17-010119
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Johanna Soderstrom
Officer — Corporate Vice President
Period of report
May 17, 2017
Accepted (ET)
May 19, 2017 · 4:08 pm EDT
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 | May 17, 2017 | M | 6,200 | $27.79 | A | 68,026 | D | |
| Common | May 17, 2017 | M | 6,090 | $9.53 | A | 74,116 | D | |
| Common | May 17, 2017 | M | 3,610 | $38.62 | A | 77,726 | D | |
| Common | May 17, 2017 | M | 2,090 | $39.745 | A | 79,816 | D | |
| Common | May 17, 2017 | F | 352 | $62.45 | D | 79,464 | D | |
| Common | May 17, 2017 | F | 637 | $62.45 | D | 78,827 | D | |
| Common | May 17, 2017 | F | 930 | $62.45 | D | 77,897 | D | |
| Common | May 17, 2017 | F | 1,331 | $62.45 | D | 76,566 | D | |
| Common | May 17, 2017 | F | 1,590 | $62.45 | D | 74,976 | D | |
| Common | May 17, 2017 | F | 2,233 | $62.45 | D | 72,743 | D | |
| Common | May 17, 2017 | F | 2,385 | $62.45 | D | 70,358 | D | |
| Common | May 17, 2017 | F | 2,759 | $62.45 | D | 67,599 | D | |
| Common | holding | — | — | — | 23 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 968 | 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 | $27.79 | May 17, 2017 | M | 6,200 | D | — | Feb 12, 2020 | Common | 6,200 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $9.53 | May 17, 2017 | M | 6,090 | D | — | Feb 13, 2019 | Common | 6,090 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4 | $38.62 | May 17, 2017 | M | 3,610 | D | — | Feb 18, 2018 | Common | 3,610 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $39.745 | May 17, 2017 | M | 2,090 | D | — | Nov 19, 2017 | Common | 2,090 | 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.
- F2The options vest in three equal annual installments beginning on February 12, 2011.
- F3The options vested in three equal annual installments beginning on February 13, 2010.
- F4The options vested in three equal annual installments beginning on February 15, 2009.
- F5The options vest in three equal annual installments beginning on November 11, 2008.