SEC Form 4 · accession 0001225208-17-013935
DOW CHEMICAL CO /DE/ · DOW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Attiganal N Sreeram
Officer — Senior Vice President
Period of report
Aug 9, 2017
Accepted (ET)
Aug 11, 2017 · 4:42 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 | Aug 9, 2017 | M | 39,170 | $32.16 | A | 133,094 | D | |
| Common | Aug 9, 2017 | M | 38,690 | $9.53 | A | 171,784 | D | |
| Common | Aug 9, 2017 | M | 34,810 | $46.71 | A | 206,594 | D | |
| Common | Aug 9, 2017 | M | 33,200 | $27.79 | A | 239,794 | D | |
| Common | Aug 9, 2017 | M | 31,012 | $49.44 | A | 270,806 | D | |
| Common | Aug 9, 2017 | M | 30,750 | $38.62 | A | 301,556 | D | |
| Common | Aug 9, 2017 | M | 26,530 | $34.00 | A | 328,086 | D | |
| Common | Aug 9, 2017 | M | 25,100 | $38.38 | A | 353,186 | D | |
| Common | Aug 9, 2017 | M | 16,969 | $46.01 | A | 370,155 | D | |
| Common | Aug 9, 2017 | F | 2,167 | $63.585 | D | 367,988 | D | |
| Common | Aug 9, 2017 | F | 3,188 | $63.585 | D | 364,800 | D | |
| Common | Aug 9, 2017 | F | 4,269 | $63.585 | D | 360,531 | D | |
| Common | Aug 9, 2017 | F | 4,597 | $63.585 | D | 355,934 | D | |
| Common | Aug 9, 2017 | F | 5,578 | $63.585 | D | 350,356 | D | |
| Common | Aug 9, 2017 | F | 5,703 | $63.585 | D | 344,653 | D | |
| Common | Aug 9, 2017 | F | 5,799 | $63.585 | D | 338,854 | D | |
| Common | Aug 9, 2017 | F | 8,635 | $63.585 | D | 330,219 | D | |
| Common | Aug 9, 2017 | F | 8,944 | $63.585 | D | 321,275 | D | |
| Common | Aug 9, 2017 | F | 12,279 | $63.585 | D | 308,996 | D | |
| Common | Aug 9, 2017 | F | 14,187 | $63.585 | D | 294,809 | D | |
| Common | Aug 9, 2017 | F | 14,511 | $63.585 | D | 280,298 | D | |
| Common | Aug 9, 2017 | F | 15,151 | $63.585 | D | 265,147 | D | |
| Common | Aug 9, 2017 | F | 15,196 | $63.585 | D | 249,951 | D | |
| Common | Aug 9, 2017 | F | 18,677 | $63.585 | D | 231,274 | D | |
| Common | Aug 9, 2017 | F | 19,812 | $63.585 | D | 211,462 | D | |
| Common | Aug 9, 2017 | F | 24,114 | $63.585 | D | 187,348 | D | |
| Common | Aug 9, 2017 | F | 25,572 | $63.585 | D | 161,776 | D | |
| Common | holding | — | — | — | 205 | I | By 401(k) Plan | |
| Common | holding | — | — | — | 920 | 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 | Aug 9, 2017 | M | 26,530 | D | — | Feb 10, 2022 | Common | 26,530 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2,F4 | $38.38 | Aug 9, 2017 | M | 25,100 | D | — | Feb 11, 2021 | Common | 25,100 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2,F5 | $27.79 | Aug 9, 2017 | M | 33,200 | D | — | Feb 12, 2020 | Common | 33,200 | 0 | D |
| Non-Qualified Stock Option (right to buy)F6,F7 | $46.01 | Aug 9, 2017 | M | 16,969 | D | — | Feb 12, 2026 | Common | 16,969 | 33,941 | D |
| Non-Qualified Stock Option (right to buy)F2,F8 | $9.53 | Aug 9, 2017 | M | 38,690 | D | — | Feb 13, 2019 | Common | 38,690 | 0 | D |
| Non-Qualified Stock Option (right to buy)F6,F9 | $49.44 | Aug 9, 2017 | M | 31,012 | D | — | Feb 13, 2025 | Common | 31,012 | 15,508 | D |
| Non-Qualified Stock Option (right to buy)F10,F11 | $46.71 | Aug 9, 2017 | M | 34,810 | D | — | Feb 14, 2024 | Common | 34,810 | 0 | D |
| Non-Qualified Stock Option (right to buy)F10,F12 | $32.16 | Aug 9, 2017 | M | 39,170 | D | — | Feb 15, 2023 | Common | 39,170 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2,F13 | $38.62 | Aug 9, 2017 | M | 30,750 | D | — | Feb 18, 2018 | Common | 30,750 | 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.
- F10Granted under The Dow Chemical Company 2012 Stock Incentive Plan. The Plan provides for tax withholding rights.
- F11The options vest in three equal annual installments beginning on February 14, 2015.
- F12The options vest in three equal annual installments beginning on February 15, 2014.
- F13The options vested in three equal annual installments beginning on February 15, 2009.
- 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 11, 2012.
- F5The options vest in three equal annual installments beginning on February 12, 2011.
- F6Granted under The Dow Chemical Company Amended and Restated 2012 Stock Incentive Plan. The Plan provides for tax withholding rights.
- F7The options vest in three equal annual installments beginning on February 12, 2017.
- F8The options vested in three equal annual installments beginning on February 13, 2010.
- F9The options vest in three equal annual installments beginning on February 13, 2016.