SEC Form 4 · accession 0000315189-16-000116
DEERE & CO · DE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jean H Gilles
Officer — Senior Vice President
Period of report
Nov 29, 2016
Accepted (ET)
Dec 1, 2016 · 9:56 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 |
|---|---|---|---|---|---|---|---|---|
| $1 Par Common StockF1 | Nov 29, 2016 | M | 10,704 | $88.82 | A | 72,392 | D | |
| $1 Par Common StockF1,F2 | Nov 29, 2016 | S | 10,704 | $100.7435 | D | 61,688 | D | |
| $1 Par Common StockF1 | Nov 29, 2016 | M | 45,700 | $52.25 | A | 107,388 | D | |
| $1 Par Common StockF1,F2,F3 | Nov 29, 2016 | S | 45,700 | $100.7435 | D | 61,688 | D | |
| $1 Par Common Stock | holding | — | — | — | 12 | I | By Son |
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,F4,F5 | $88.82 | Nov 29, 2016 | M | 10,704 | D | — | Dec 5, 2017 | Common Stock | 10,704 | 0 | D |
| Market Priced OptionsF1,F4,F6 | $52.25 | Nov 29, 2016 | M | 45,700 | D | — | Dec 9, 2019 | Common Stock | 45,700 | 0 | D |
Explanation of responses
- F1Exercise of Rule 16b-3 options and related sales of shares pursuant to a Rule 10(b)5-1 stock option exercise plan adopted August 23, 2016.
- F2The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.42 to $101.03, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3Includes 35,067 restricted stock units under the John Deere Omnibus Equity and Incentive Plan to be settled solely in shares. Units include the ability to have shares withheld to satisfy income tax obligations.
- F4All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
- F5The options became exercisable in three approximately equal installments on December 5, 2008, 2009 and 2010.
- F6The options became exercisable in three approximately equal installments on December 9, 2010, 2011, and 2012.