SEC Form 4 · accession 0000315189-16-000114
DEERE & CO · DE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Max A Guinn
Officer — President, WW C&F, Lbr Rltns
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 4:55 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 | Nov 23, 2016 | M | 10,312 | $88.82 | A | 55,427 | D | |
| $1 Par Common StockF1 | Nov 23, 2016 | S | 10,312 | $99.00 | D | 45,115 | D | |
| $! Par Common StockF1 | Nov 25, 2016 | M | 26,090 | $52.25 | A | 71,205 | D | |
| $1 Par Common StockF1,F2 | Nov 25, 2016 | S | 26,090 | $104.50 | D | 45,115 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Market Priced OptionsF1,F3,F4 | $88.82 | Nov 23, 2016 | M | 10,312 | D | — | Dec 5, 2017 | Common Stock | 10,312 | 0 | D |
| Market Priced OptionsF1,F3,F5 | $52.25 | Nov 25, 2016 | M | 26,090 | D | — | Dec 9, 2019 | Common Stock | 26,090 | 0 | D |
Explanation of responses
- F1Exercise of Rule 16b-3 options and related sale of shares pursuant to Rule 10(b)5-1 stock option exercise plan adopted on May 27, 2016.
- F2Includes 29,865 restricted stock units granted under the John Deere Omnibus Equity and Incentive Plan to be settled solely in shares.
- F3All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
- F4The options became exercisable in three approximately equal installments on December 5, 2008, 2009 and 2010.
- F5The options became exercisable in three approximately equal installments on December 9, 2010, 2011 and 2012.