SEC Form 4 · accession 0000315189-17-000041
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, 2017
Accepted (ET)
Nov 30, 2017 · 4:38 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 | Nov 29, 2017 | M | 4,519 | $88.82 | A | 36,288 | D | |
| $1 Par Common StockF1,F2 | Nov 29, 2017 | S | 4,519 | $148.92 | D | 31,769 | 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 | $88.82 | Nov 29, 2017 | M | 4,519 | D | — | Dec 5, 2017 | Common Stock | 4,519 | 0 | D |
Explanation of responses
- F1Exercise of Rule 16b-3 options and related sales of shares pursuant to a Rule 10b5-1 stock option exercise plan adopted on December 5, 2016.
- F2Includes 13,622 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 5, 2008, 2009, and 2010.