SEC Form 4 · accession 0000315189-17-000027
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
Jun 1, 2017
Accepted (ET)
Jun 2, 2017 · 10:29 am EDT
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 | Jun 1, 2017 | M | 62,704 | $39.665 | A | 333,492 | D | |
| $1 Par Common StockF1,F2 | Jun 1, 2017 | S | 62,704 | $125.00 | D | 270,788 | 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 OptionsF1,F3,F4 | $39.665 | Jun 1, 2017 | M | 62,704 | D | — | Dec 17, 2018 | Common Stock | 62,704 | 0 | D |
Explanation of responses
- F1Exercise of Rule 16b-3 employee stock options and related sale of shares pursuant to a Rule 10(b)5-1 stock option exercise plan adopted on December 5, 2016.
- F2Includes 141,524 restricted stock units granted 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.
- 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 17, 2009, 2010, and 2011.