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DEERE & CO — Director's Dealing 2016
Dec 1, 2016
29837_dirs_2016-12-01_4c8635fd-8f69-443d-8506-cbf065401f59.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: DEERE & CO (DE)
CIK: 0000315189
Period of Report: 2016-12-01
Reporting Person: Field James M. (Pre. Ag. & Turf Division)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-01 | $1 Par Common Stock | M | 28229 | $52.25 | Acquired | 96855 | Direct |
| 2016-12-01 | $1 Par Common Stock | S | 28229 | $101.6662 | Disposed | 68626 | Direct |
| 2016-12-01 | $1 Par Common Stock | M | 21735 | $80.61 | Acquired | 90361 | Direct |
| 2016-12-01 | $1 Par Common Stock | S | 21735 | $101.6662 | Disposed | 68626 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-01 | Market Priced Options | $52.25 | M | 28229 | Disposed | 2019-12-09 | Common Stock (28229) | Direct |
| 2016-12-01 | Market Priced Options | $80.61 | M | 21735 | Disposed | 2020-12-08 | Common Stock (21735) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| $1 Par Common Stock | 2567 | Indirect |
Footnotes
F1: Exercise of Rule 16b-3 options and related sale of shares pursuant to Rule 10(b)5-1 stock option exercise plan adopted on September 6, 2016.
F2: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.73 to $102.13, 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 range set forth in this footnote.
F3: Includes 44,536 restricted stock units granted under the John Deere Omnibus Equity and Incentive Plan to be settled solely in shares.
F4: All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
F5: The options became exercisable in three approximately equal installments on December 9, 2010, 2011, and 2012.
F6: The options became exercisable in three approximately equal installments on December 8, 2011, 2012, and 2013.