Ungerleider Howard I's Form 4 filing
Dow Inc. (DOW) · filed May 6, 2022
- Accession no.
- 0001751788-22-000112
- Filed
- May 6, 2022
- Trade date
- May 4, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $7.15M. 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 |
|---|---|
| Ungerleider Howard ICIK 0001514396 | Officer (President and CFO) |
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 |
|---|---|---|---|---|---|---|---|---|
| May 4, 2022 | Common Stock | MOption exerciseAcquired | +104,101 | $32.57 | +$3,390,569.57 | 218,307 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −104,101 | $68.70F2 | −$7,151,738.7 | 114,206 | Direct | |
| May 4, 2022 | Common Stock | GGiftDisposed | −8,064 | $0.00 | $0 | 106,142 | Direct | |
| May 4, 2022 | Common Stock | GGiftAcquired | +8,064 | $0.00 | $0 | 142,016 | Indirect | |
| May 4, 2022 | Common Stock | GGiftDisposed | −10,000 | $0.00 | $0 | 132,016 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| May 4, 2022 | Common Stock | MOption exerciseDisposed | −104,101 | $0.00 | $0 | 0 | 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
The price is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $68.56 to $68.96. 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.
Referenced by the price of 1 transaction in Table I.