Statement of Changes in Beneficial Ownership (4)
December 01 2021 - 10:58AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Stone John H |
2. Issuer Name and Ticker or Trading Symbol
DEERE & CO
[
DE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, WW C&F & Pwr Syst |
(Last)
(First)
(Middle)
ONE JOHN DEERE PLACE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/30/2021 |
(Street)
MOLINE, IL 61265
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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$1 Par Common Stock (1) | 11/30/2021 | | M | | 2000 | A | $87.46 | 12666 | D | |
$1 Par Common Stock (1) | 11/30/2021 | | S | | 958 | D | $348.636 | 11708 | D | |
$1 Par Common Stock (1) | 11/30/2021 | | M | | 10068 | A | $88.185 | 21776 | D | |
$1 Par Common Stock (1) | 11/30/2021 | | S | | 5959 | D | $349.105 | 15817 | D | |
$1 Par Common Stock (1) | 11/30/2021 | | M | | 5750 | A | $78.24 | 21567 | D | |
$1 Par Common Stock (1) | 11/30/2021 | | S | | 3118 | D | $348.34 | 18449 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Market Priced Options (1)(3) | $87.46 | 11/30/2021 | | M | | | 2000 | (4) | 12/11/2023 | Common Stock | 2000 | $0 | 0 | D | |
Market Priced Options (1)(3) | $88.185 | 11/30/2021 | | M | | | 10068 | (5) | 12/10/2024 | Common Stock | 10068 | $0 | 0 | D | |
Market Priced Options (1)(3) | $79.24 | 11/30/2021 | | M | | | 5750 | (6) | 12/9/2015 | Common Stock | 5750 | $0 | 5981 | D | |
Explanation of Responses: |
(1) | Exercise of Rule 16b-3 options and related sales of shares to cover exercise price and tax withholding requirements pursuant to Rule 10(b)5-1 stock option exercise plan adopted August 26, 2021. |
(2) | Includes 3,300 restricted stock units granted under the John Deere Omnibus Equity and Incentive Plan and the John Deere 2020 Equity and Incentive Plan to be settled solely in shares. Units include the ability to have shares withheld to satisfy income tax obligations. |
(3) | All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations. |
(4) | The options became exercisable on December 11, 2016. |
(5) | The options became exercisable in three approximately equal tranches on December 10, 2015, 2016, and 2017. |
(6) | The options became exercisable in three approximately equal tranches on December 9, 2016, 2017, and 2018. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stone John H ONE JOHN DEERE PLACE MOLINE, IL 61265 |
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| President, WW C&F & Pwr Syst |
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Signatures
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/s/ Paul Wilczynski, Assistant Secretary, Deere & Company, Under Power of Attorney | | 12/1/2021 |
**Signature of Reporting Person | Date |
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