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DEERE & CO — Director's Dealing 2016
Nov 23, 2016
29837_dirs_2016-11-23_88f2afd5-de01-42c9-a13f-6dc07ee0c0fa.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: 2016-11-22
Reporting Person: May John C II (President, Ag Solutions & CIO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-22 | $1 Par Common Stock | M | 7606 | $88.82 | Acquired | 28926 | Direct |
| 2016-11-22 | $1 Par Common Stock | S | 7606 | $93.0286 | Disposed | 21320 | Direct |
| 2016-11-22 | $1 Par Common Stock | M | 3175 | $74.24 | Acquired | 26917 | Direct |
| 2016-11-22 | $1 Par Common Stock | S | 3175 | $93.0286 | Disposed | 21320 | Direct |
| 2016-11-23 | $1 Par Common Stock | M | 2422 | $74.24 | Acquired | 23742 | Direct |
| 2016-11-23 | $1 Par Common Stock | S | 2422 | $99.1724 | Disposed | 21320 | Direct |
| 2016-11-23 | $1 Par Common Stock | M | 5411 | $80.61 | Acquired | 26731 | Direct |
| 2016-11-23 | $1 Par Common Stock | S | 5411 | $102.0777 | Disposed | 21320 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-22 | Market Priced Options | $88.82 | M | 7606 | Acquired | 2017-12-05 | Common Stock (7606) | Direct |
| 2016-11-22 | Market Priced Options | $74.24 | M | 3175 | Acquired | 2021-12-14 | Common Stock (3175) | Direct |
| 2016-11-23 | Market Priced Options | $74.24 | M | 2422 | Acquired | 2021-12-14 | Common Stock (2422) | Direct |
| 2016-11-23 | Market Priced Options | $80.61 | M | 5411 | Acquired | 2020-12-08 | Common Stock (5411) | Direct |
Footnotes
F1: Exercise of Rule 16b-3 options and related sales of shares pursuant to a Rule 10(b)5-1 stock option exercise plan adopted March 3, 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 $93.00 to $93.12, 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 footnotes 2, 3, and 4.
F3: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.00 to $99.345, inclusive.
F4: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.00 to $102.33, inclusive.
F5: Includes 15,480 restricted stock units granted under the John Deere Omnibus Equity and Incentive Plan to be settled solely in shares. Units include the ability to have shares withheld to satisfy income tax obligations.
F6: All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
F7: The options became exercisable in three approximately equal installments on December 5, 2008, 2009, and 2010.
F8: The options became exercisable in three approximately equal installments on December 14, 2012, 2013, and 2014.
F9: The options became exercisable in three approximately equal installments on December 8, 2011, 2012, and 2013.