SEC Form 4 · accession 0000315189-16-000115
DEERE & CO · DE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rajesh Kalathur
Officer — Senior Vice President & CFO
Period of report
Nov 29, 2016
Accepted (ET)
Dec 1, 2016 · 9:25 am 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 |
|---|---|---|---|---|---|---|---|---|
| $! Par Common StockF1,F2 | Nov 29, 2016 | M | 5,816 | $48.375 | A | 28,315 | 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 | $48.375 | Nov 29, 2016 | M | 5,816 | A | — | Dec 6, 2016 | Common Stock | 5,816 | 0 | D |
Explanation of responses
- F1Cash exercise of Rule 16b-3 options pursuant to Rule 10b5-1 stock option exercise plan adopted on September 8, 2016.
- F2Includes 13,414 restricted stock units 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 6, 2007, 2008, and 2009.