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DOW INC. — Director's Dealing 2023
Feb 14, 2023
30381_dirs_2023-02-13_3ca7c5ea-e13f-467e-8f57-2a61b7fa224d.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: 2023-02-09
Reporting Person: Ungerleider Howard I (President and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-02-09 | Common Stock | A | 12310 | — | Acquired | 193421 | Direct |
| 2023-02-09 | Common Stock | M | 94998 | $47.31 | Acquired | 288419 | Direct |
| 2023-02-09 | Common Stock | D | 83959 | $59.9391 | Disposed | 204460 | Direct |
| 2023-02-09 | Common Stock | G | 11039 | — | Disposed | 193421 | Direct |
| 2023-02-09 | Common Stock | G | 11039 | — | Acquired | 143055 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-02-09 | Non-Qualified Stock Option (Right to Buy) | $59.08 | A | 79910 | Acquired | 2033-02-09 | Common Stock (79910.0) | Direct |
| 2023-02-09 | Non-Qualified Stock Option (Right to Buy) | $47.31 | M | 94998 | Disposed | 2024-02-14 | Common Stock (94998.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 389.79 | Indirect |
| Common Stock | 926.64 | Indirect |
Footnotes
F1: Restricted stock units to be delivered in one installment on or about February 9, 2026, subject to continued employment.
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.
F4: Total includes previously reported restricted stock units.
F5: This option will vest in three equal installments beginning on February 9, 2024. Option shares will be used to satisfy withholding taxes.
F6: This option granted in February 2014, and expiring on February 14, 2024, is fully vested and exercisable.