Form 4 for DOW Dow Inc.
Accepted 2023-02-13 00:00:00 ET · period of report 2023-02-09 · accession 0001751788-23-000046 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-02-13 | 2023-02-09 | DOW | Ungerleider Howard I | Pres, CFO | M - OptEx | $47.31 | +95.0K | 288.4K | +49% | +$4.49M |
| D | 2023-02-13 | 2023-02-09 | DOW | Ungerleider Howard I | Pres, CFO | D - Sale to Iss | $59.94 | -84.0K | 204.5K | -29% | -$5.03M |
| D | 2023-02-13 | 2023-02-09 | DOW | Ungerleider Howard I | Pres, CFO | G - Gift | $0.00 | -11.0K | 193.4K | -5% | $0 |
| DI | 2023-02-13 | 2023-02-09 | DOW | Ungerleider Howard I | Pres, CFO | G - Gift | $0.00 | +11.0K | 143.1K | +8% | $0 |
| D | 2023-02-13 | 2023-02-09 | DOW | Ungerleider Howard I | Pres, CFO | A - Grant | $0.00 | +12.3K | 193.4K | +7% | $0 |
| D | 2023-02-13 | 2023-02-09 | DOW | Ungerleider Howard I | Pres, CFO | M - OptEx | $0.00 | -95.0K | 0 | -100% | $0 |
| D | 2023-02-13 | 2023-02-09 | DOW | Ungerleider Howard I | Pres, CFO | A - Grant | $0.00 | +79.9K | 79.9K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-09 | M | A | 94,998 | $47.31 | 288,419 | D | — | — | |
| 2 | Common | Common Stock | 2023-02-09 | D | D | 83,959 | $59.94 | 204,460 | D | — | — | (F2) Shares used to satisfy the exercise price and tax withholding of the Reporting Person upon exercise of options as required by the award agreement and exempt under Rule 16b-3. The net shares were not sold. (F3) The price is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $59.91 to $60.04. Reporting Person agrees to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
| 3 | Common | Common Stock | 2023-02-09 | G | D | 11,039 | $0.00 | 193,421 | D | — | — | (F4) Total includes previously reported restricted stock units. |
| 4 | Common | Common Stock | 2023-02-09 | G | A | 11,039 | $0.00 | 143,055 | I | — | — | |
| 5 | Common | Common Stock | 2023-02-09 | A | A | 12,310 | $0.00 | 193,421 | D By Trust | — | — | (F1) Restricted stock units to be delivered in one installment on or about February 9, 2026, subject to continued employment. |
| 6 | Derivative | Non-Qualified Stock Option (Right to Buy) | 2023-02-09 | M | D | 94,998 | $0.00 | 0 | D | $47.31 · — to 2024-02-14 | 94,998 Common Stock | (F6) This option granted in February 2014, and expiring on February 14, 2024, is fully vested and exercisable. |
| 7 | Derivative | Non-Qualified Stock Option (Right to Buy) | 2023-02-09 | A | A | 79,910 | $0.00 | 79,910 | D | $59.08 · — to 2033-02-09 | 79,910 Common Stock | (F5) This option will vest in three equal installments beginning on February 9, 2024. Option shares will be used to satisfy withholding taxes. |