SEC Form 4 · accession 0000315189-16-000129
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 14, 2016
Accepted (ET)
Dec 15, 2016 · 12:47 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,F2 | Dec 14, 2016 | A | 20,785 | $0.00 | A | 284,900 | 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 OptionsF3,F4 | $100.55 | Dec 14, 2016 | A | 119,752 | A | — | Dec 14, 2026 | Common Stock | 119,752 | 119,752 | D |
Explanation of responses
- F1Grant 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.
- F2Includes 170,955 restricted stock units under the John Deere Omnibus 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 become exercisable in three approximately equal installments on December 14, 2017, 2018, and 2019.