SEC Form 4 · accession 0000315189-15-000056
DEERE & CO · DE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel R Allen
Officer — Chairman & CEO
Period of report
Dec 8, 2015
Accepted (ET)
Dec 10, 2015 · 12:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000315189
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| $1 Par Common StockF1 | Dec 8, 2015 | F | 11,502 | $79.25 | D | 254,879 | D | |
| $1 Par Common StockF2,F3 | Dec 9, 2015 | A | 26,375 | $0.00 | A | 281,254 | D | |
| $1 Par Common Stock | holding | — | — | — | 47,203 | I | By LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Market Priced OptionsF4,F5 | $79.24 | Dec 9, 2015 | A | 173,360 | A | Dec 9, 2015 | Dec 9, 2015 | Common Stock | 173,360 | 173,360 | D |
Explanation of responses
- F1Exempt withholding of shares to satisfy tax withholding obligations upon settlement of restricted stock units for unrestricted shares.
- F2Grant of restricted stock units under the John Deere Omnibus Equity and Incentive Plan. Awards include the ability to withhold shares upon conversion to satisfy tax obligations.
- F3Includes 200,453 restricted stock units under the John Deere Omnibus and Incentive Plan to be settled solely in shares.
- F4All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
- F5The options become exercisable in three approximately equal installment on December 9, 2016, December 9, 2017, and December 9, 2018.