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DOW INC. — Director's Dealing 2020
Nov 13, 2020
30381_dirs_2020-11-12_72c180f1-c3ec-49d0-8836-d8383c85cdbb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: DOW INC. (DOW)
CIK: 0001751788
Period of Report: 2020-11-09
Reporting Person: Ungerleider Howard I (President and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-11-09 | Common Stock | M | 11363.0000 | $38.8700 | Acquired | 105270.0000 | Direct |
| 2020-11-09 | Common Stock | D | 9684.0000 | $52.8050 | Disposed | 95586.0000 | Direct |
| 2020-11-10 | Common Stock | M | 7000.0000 | $38.8700 | Acquired | 102586.0000 | Direct |
| 2020-11-10 | Common Stock | G | 2719.0000 | $0.0000 | Disposed | 99867.0000 | Direct |
| 2020-11-10 | Common Stock | D | 5960.0000 | $52.9060 | Disposed | 93907.0000 | Direct |
| 2020-11-10 | Common Stock | G | 2719.0000 | $0.0000 | Acquired | 84223.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-11-09 | Non-Qualified Stock Option (Right to Buy) | $38.8700 | M | 11363.0000 | Disposed | 2021-02-11 | Common Stock (11363.0000) | Direct |
| 2020-11-10 | Non-Qualified Stock Option (Right to Buy) | $38.8700 | M | 7000.0000 | Disposed | 2021-02-11 | Common Stock (7000.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 257.0420 | Indirect |
| Common Stock | 926.5410 | Indirect |
Footnotes
F1: 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.
F2: The price in respect of November 10, 2020 is a weighted average sale price for the transaction initiated on November 9, 2020 and executed over November 9 and 10, 2020. The shares sold on November 9, 2020 were all sold at $52.805 and the shares sold on November 10, 2020 were sold in multiple transactions at prices ranging from $52.87 to $52.91. 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.
F3: This option is fully vested and exercisable.