Filing Details
- Accession Number:
- 0000315189-17-000031
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-22 18:14:52
- Reporting Period:
- 2017-08-22
- Accepted Time:
- 2017-08-22 17:14:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 315189 | Deere & Co | DE | Farm Machinery & Equipment (3523) | 362382580 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1411741 | Markwart Pentz Von | One John Deere Place Moline IL 61265 | Pres.ag&Turfdiv.eur.,Asia,Afr. | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| $1 Par Common Stock | Acquisiton | 2017-08-22 | 5,139 | $88.82 | 47,165 | No | 4 | M | Direct | |
| $1 Par Common Stock | Acquisiton | 2017-08-22 | 20,376 | $80.61 | 67,541 | No | 4 | M | Direct | |
| $1 Par Common Stock | Acquisiton | 2017-08-22 | 20,942 | $86.36 | 88,483 | No | 4 | M | Direct | |
| $1 Par Common Stock | Disposition | 2017-08-22 | 46,457 | $116.74 | 42,026 | 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 Stock | Market Priced Options | Disposition | 2017-08-22 | 5,139 | $0.00 | 5,139 | $88.82 |
| Common Stock | Market Priced Options | Disposition | 2017-08-22 | 20,376 | $0.00 | 20,376 | $80.61 |
| Common Stock | Market Priced Options | Disposition | 2017-08-22 | 20,942 | $0.00 | 20,942 | $86.36 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-12-05 | No | 4 | M | Direct | |
| 0 | 2020-12-08 | No | 4 | M | Direct | |
| 0 | 2022-12-12 | No | 4 | M | Direct |
Footnotes
- Exercise of Rule 16b-3 options and related sale of shares pursuant to a Rule 10(b)5-1 stock option exercise plan adopted on June 7, 2017.
- The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.57 to $117.12, 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 ranges set forth in this footnote.
- Includes 12,666 restricted stock units subject to restrictions or limitations under the John Deere Omnibus Equity and Incentive Plan. Shares are not held by reporting person during the period of limitation or restriction. Units are settled solely in shares and include the ability to have shares withheld to satisfy income tax obligations.
- All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
- The options became exercisable in three approximately equal installments on December 5, 2008, 2009, and 2010.
- The options became exercisable in three approximately equal installments on December 8, 2011, 2012, and 2013.
- The options became exercisable in three approximately equal installments on December 12, 2013, 2014, and 2015.
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