Initial Statement of Beneficial Ownership (3)
November 02 2016 - 12:03PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Howze Marc A
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/1/2016
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3. Issuer Name
and
Ticker or Trading Symbol
DEERE & CO [DE]
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(Last)
(First)
(Middle)
ONE JOHN DEERE PLACE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Sr. VP & Chief Admin Offcr /
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(Street)
MOLINE, IL 61265
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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$1 Par Common Stock
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1306
(1)
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D
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$1 Par Common Stock
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4926.725
(2)
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Market Priced Employee Stock Options
(3)
(4)
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12/5/2008
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12/5/2017
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Common Stock
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6624
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$88.82
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D
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Market Priced Employee Stock Options
(3)
(4)
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12/8/2011
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12/8/2020
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Common Stock
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7731
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$80.61
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D
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Market Priced Employee Stock Options
(3)
(4)
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12/14/2012
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12/14/2021
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Common Stock
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7996
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$74.24
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D
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Market Priced Employee Stock Options
(3)
(4)
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12/12/2013
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12/12/2022
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Common Stock
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8343
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$86.36
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D
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Market Priced Employee Stock Options
(3)
(4)
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12/11/2014
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12/11/2023
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Common Stock
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12124
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$87.46
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D
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Market Priced Employee Stock Options
(3)
(4)
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12/10/2015
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12/10/2024
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Common Stock
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14619
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$88.185
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D
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Market Priced Employee Stock Options
(3)
(4)
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12/9/2016
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12/9/2025
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Common Stock
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8585
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$79.24
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D
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Explanation of Responses:
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(
1)
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Includes 1,306 restricted stock units granted under the John Deere Omnibus Equity and Incentive Plan and to be settled solely in shares.
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(
2)
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Represents units in the issuer stock fund of the Deere & Company 401(k) Savings and Investment Plan. The information is based on a plan statement dated as of September 30, 2016 when the per unit value was $124.02.
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(
3)
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All options include the ability to withhold shares upon the exercise of the option to satisfy minimum required income tax obligations.
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(
4)
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The options become exercisable in three approximately equal annual installments one, two and three years after grant. The date listed in the initial exercisable installment date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Howze Marc A
ONE JOHN DEERE PLACE
MOLINE, IL 61265
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Sr. VP & Chief Admin Offcr
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Signatures
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/s/ Paul Wilczynski, Assistant Secretary, Deere & Company, Under Power of Attorney
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11/2/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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