SEC Form 4 · accession 0000315189-17-000039
DEERE & CO · DE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M. Field
Officer — Pres. Ag. & Turf Division
Period of report
Nov 28, 2017
Accepted (ET)
Nov 30, 2017 · 3:47 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 Common StockF1 | Nov 28, 2017 | M | 25,391 | $74.24 | A | 94,753 | D | |
| $1 Par Common StockF1,F2 | Nov 28, 2017 | S | 25,391 | $147.9846 | D | 69,362 | D | |
| $1 Par Common StockF1 | Nov 28, 2017 | M | 23,036 | $86.36 | A | 92,398 | D | |
| $1 Par Common StockF1,F2,F3 | Nov 28, 2017 | S | 23,036 | $147.9846 | D | 69,362 | D | |
| $1 Par Common Stock | holding | — | — | — | 2,567 | I | By Trust |
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 | $74.24 | Nov 28, 2017 | M | 25,391 | D | — | Dec 14, 2021 | Common Stock | 25,391 | 0 | D |
| Market Priced OptionsF1,F4,F6 | $86.36 | Nov 28, 2017 | M | 23,036 | D | — | Dec 12, 2022 | Common Stock | 23,036 | 0 | D |
Explanation of responses
- F1Exercise of Rule 16b-13 options and related sale of shares pursuant to Rule 10(b)5-1 stock option exercise plan adopted on August 24, 2017.
- F2The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.26 to $148.44, 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 range set forth in this footnote.
- F3Include 38,839 restricted stock units granted under the John Deere Omnibus Equity and Incentive Plan to be settled solely in shares.
- F4All options include the ability to withhold units granted under the John Deere Omnibus Equity and Incentive Plan to be settled solely in shares.
- F5The options became exercisable in three approximately equal installments on December 14, 2012, 2013, and 2014.
- F6The options became exercisable in three approximately equal installments on December 12, 2013, 2014, and 2015.