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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Options (Right to Buy) | $ 49.9015 | 08/31/2017 | D | 49,487 (2) | (2) | 02/05/2019 | Common Stock | 49,487 | (2) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $ 45.7189 | 08/31/2017 | D | 57,312 (3) | (3) | 02/05/2020 | Common Stock | 57,312 | (3) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $ 59.6543 | 08/31/2017 | D | 47,407 (4) | (4) | 02/04/2021 | Common Stock | 47,407 | (4) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $ 71.0648 | 08/31/2017 | D | 60,380 (5) | (5) | 02/03/2022 | Common Stock | 60,380 | (5) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $ 58.76 | 08/31/2017 | D | 84,296 (6) | (6) | 02/02/2026 | Common Stock | 84,296 | (6) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $ 76.17 | 08/31/2017 | D | 72,073 (7) | (7) | 02/01/2027 | Common Stock | 72,073 | (7) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FANANDAKIS NICHOLAS C CHESTNUT RUN PLAZA 730 974 CENTRE ROAD WILMINGTON, DE 19805 |
Executive Vice President & CFO |
Erik T. Hoover by Power of Attorney | 09/05/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Disposed of pursuant to merger agreement between issuer and Dow Chemical Company in exchange for 202,028.8433 shares or stock units, as applicable, of DowDuPont common stock having a market value of $67.18 per share or stock unit, as applicable, on the effective date of the merger. |
(2) | This option, which provided for vesting in three equal annual installments beginning February 6, 2013, was assumed by DowDuPont in the merger and exchanged for 63,422 options at a grant price of $38.93. |
(3) | This option, which provided for vesting in three equal annual installments beginning February 6, 2014, was assumed by DowDuPont in the merger and exchanged for 73,473 options at a grant price of $35.67. |
(4) | This option, which provided for vesting in three equal annual installments beginning February 5, 2015, was assumed by DowDuPont in the merger and exchanged for 60,775 options at a grant price of $46.54. |
(5) | This option, which provided for vesting in three equal annual installments beginning February 4, 2016, was assumed by DowDuPont in the merger and exchanged for 77,407 options at a grant price of $55.44. |
(6) | This option, which provided for vesting in three equal annual installments beginning February 3, 2017, was assumed by DowDuPont in the merger and exchanged for 108,875 options at a grant price of $45.84. |
(7) | This option, which provided for vesting in three equal annual installments beginning February 2, 2018, was assumed by DowDuPont in the merger and exchanged for 92,397 options at a grant price of $59.42. |