SEC Form 4 · accession 0000315189-18-000004
DEERE & CO · DE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary K.W. Jones
Officer — Sr. V.P. & General Counsel
Period of report
Jan 9, 2018
Accepted (ET)
Jan 9, 2018 · 5:21 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 | Jan 9, 2018 | M | 10,220 | $86.36 | A | 52,433 | D | |
| $1 Par Common StockF1,F2,F3 | Jan 9, 2018 | S | 10,220 | $165.0634 | A | 42,213 | 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,F4,F5 | $86.36 | Jan 9, 2018 | M | 10,220 | D | — | Dec 12, 2022 | Common Stock | 10,220 | 0 | D |
Explanation of responses
- F1Exercise of Rule 16b-3 options and related sale of shares pursuant to Rule 10(b)5-1 stock option exercise plan adopted on August 25, 2017.
- F2The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $165.00 to $165.145, 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 footage.
- F3Includes 25,652 restricted stock units under the John Deere Omnibus Equity and Incentive Plan to be settled solely in shares.
- 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 12, 2013, 2014, and 2015.