Filing Details
- Accession Number:
- 0001225208-14-013451
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-21 16:42:00
- Reporting Period:
- 2014-05-19
- Filing Date:
- 2014-05-21
- Accepted Time:
- 2014-05-21 16:42:00
- 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 | 2014-05-19 | 130,267 | $27.79 | 199,817 | No | 4 | M | Direct | |
| Common | Acquisiton | 2014-05-19 | 30,000 | $32.16 | 229,817 | No | 4 | M | Direct | |
| Common | Disposition | 2014-05-19 | 160,267 | $49.41 | 69,550 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2014-05-19 | 130,267 | $0.00 | 130,267 | $27.79 |
| Common | Non-Qualified Stock Option (right to buy) | Disposition | 2014-05-19 | 30,000 | $0.00 | 30,000 | $32.16 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-02-12 | No | 4 | M | Direct | |
| 171,290 | 2023-02-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 2,383 | Indirect | By 401(k) Plan |
| Common | 3,090 | Indirect | By 401(k) Plan ESOP |
| Common | 160,704 | 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, 2014.
- 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 $49.62 to $48.88. 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.
- Granted under The Dow Chemical Company 2012 Stock Incentive Plan. The Plan provides for tax withholding rights.
- The options vest in three equal annual installments beginning on February 15, 2014.
Billionaire Hedge Funds
