Filing Details
- Accession Number:
- 0001225208-14-004336
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-12 16:22:02
- Reporting Period:
- 2014-02-10
- Filing Date:
- 2014-02-12
- Accepted Time:
- 2014-02-12 16:22:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 29915 | Dow Chemical Co | DOW | Plastic Materials, Synth Resins & Nonvulcan Elastomers (2821) | 381285128 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1183686 | E David Kepler | 2030 Dow Center Midland MI 48674 | Executive Vice President & Cio | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common | Acquisiton | 2014-02-10 | 68,652 | $9.53 | 141,772 | No | 4 | M | Direct | |
| Common | Acquisiton | 2014-02-10 | 65,133 | $27.79 | 206,905 | No | 4 | M | Direct | |
| Common | Acquisiton | 2014-02-10 | 36,670 | $43.49 | 243,575 | No | 4 | M | Direct | |
| Common | Disposition | 2014-02-10 | 170,455 | $45.60 | 73,120 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common | Non-Qualified Stock Option (right to buy) | Disposition | 2014-02-10 | 65,133 | $0.00 | 65,133 | $27.79 |
| Common | Non-Qualified Stock Option (right to buy) | Disposition | 2014-02-10 | 36,670 | $0.00 | 36,670 | $43.49 |
| Common | Non-Qualified Stock Option (right to buy) | Disposition | 2014-02-10 | 68,652 | $0.00 | 68,652 | $9.53 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 130,267 | 2020-02-12 | No | 4 | M | Direct | |
| 0 | 2014-02-13 | No | 4 | M | Direct | |
| 0 | 2019-02-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 2,349 | Indirect | By 401(k) Plan |
| Common | 2,876 | Indirect | By 401(k) Plan ESOP |
| Common | 146,085 | Indirect | By Trust |
| Common | 28,560 | Indirect | By Trust 2 |
Footnotes
- The transaction reported on this Form 4 was effected pursuant to a Rule 10(b)5-1 trading plan adopted by the reporting person on February 28, 2013.
- The number of shares are aggregated for sales occuring within a $1.00 price range on the same date. The price represents the weighted average sale price for all aggregated transactions. The actual prices ranged from $45.79 to $45.28. Full information regarding the aggregated transactions will be made available upon request.
- Granted under The Dow Chemical Company 1988 Award and Option Plan. The Plan provides for tax withholding rights.
- The options vest in three equal annual installments beginning on February 12, 2011.
- The options vested in three equal annual installments beginning on February 13, 2005.
- The options vested in three equal annual installments beginning on February 13, 2010.
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