Lee Rose's Form 4 filing
DuPont de Nemours, Inc. (DD) · filed Aug 26, 2021
- Accession no.
- 0001666700-21-000060
- Filed
- Aug 26, 2021
- Trade date
- Aug 24, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.97M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lee RoseCIK 0001681150 | Officer (President, Water & Protection) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +13,251 | $66.21 | +$877,348.71 | 56,606.79 | Direct | |
| Aug 24, 2021 | Common Stock | SSaleDisposed | −13,251 | $74.37F2 | −$985,476.87 | 43,355.79 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +13,197 | $53.50 | +$706,039.5 | 56,552.79 | Direct | |
| Aug 24, 2021 | Common Stock | SSaleDisposed | −13,197 | $74.37F2 | −$981,460.89 | 43,355.79 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −13,251 | $0.00 | $0 | 0 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −13,197 | $0.00 | $0 | 26,396 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Weighted average sales price of $74.3746. Trades ranged from $74.34 to $74.44. The reporting person will provide to the Commission, the issuer and any stockholder full information regarding the number of shares sold at each separate price.
Referenced by the price of 2 transactions in Table I.