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DEERE & CO — Director's Dealing 2017
Nov 6, 2017
29837_dirs_2017-11-06_5976868c-960c-4ef3-a1b1-75915f10dcf2.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: 2017-11-02
Reporting Person: von Pentz Markwart (Pres.Ag&TurfDiv.Eur.Asia,Afr.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-02 | $1 Par Common Stock | M | 624 | $88.185 | Acquired | 42650 | Direct |
| 2017-11-02 | $1 Par Common Stock | S | 624 | $135.01 | Disposed | 42026 | Direct |
| 2017-11-02 | $1 Par Common Stock | M | 376 | $79.24 | Acquired | 42402 | Direct |
| 2017-11-02 | $1 Par Common Stock | S | 376 | $135.01 | Disposed | 42026 | Direct |
| 2017-11-03 | $1 Par Common Stock | M | 1248 | $88.185 | Acquired | 43274 | Direct |
| 2017-11-03 | $1 Par Common Stock | S | 1248 | $135.0175 | Disposed | 42026 | Direct |
| 2017-11-03 | $1 Par Common Stock | M | 752 | $79.24 | Acquired | 42778 | Direct |
| 2017-11-03 | $1 Par Common Stock | S | 752 | $135.0175 | Disposed | 42026 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-02 | Market Priced Options | $88.185 | M | 624 | Disposed | 2024-12-10 | Common Stock (624) | Direct |
| 2017-11-02 | Market Priced Options | $79.24 | M | 376 | Disposed | 2025-12-09 | Common Stock (376) | Direct |
| 2017-11-03 | Market Priced Options | $88.185 | M | 1248 | Disposed | 2024-12-10 | Common Stock (1248) | Direct |
| 2017-11-03 | Market Priced Options | $79.24 | M | 752 | Disposed | 2025-12-09 | Common Stock (752) | Direct |
Footnotes
F1: 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.
F2: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.00 to $135.03, 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.
F3: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.00 to $135.03, 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.
F4: 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.
F5: All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
F6: The options become exercisable in three approximately equal installments on December 10, 2015, 2016, and 2017.
F7: The options become exercisable in three approximately equal installments on December 9, 2016, 2017, and 2018.