0001751788-21-000041.txt : 20210216 0001751788-21-000041.hdr.sgml : 20210216 20210216205116 ACCESSION NUMBER: 0001751788-21-000041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210211 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fitterling James R CENTRAL INDEX KEY: 0001490029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38646 FILM NUMBER: 21642197 MAIL ADDRESS: STREET 1: 2211 H.H. DOW WAY CITY: MIDLAND STATE: MI ZIP: 48674 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DOW INC. CENTRAL INDEX KEY: 0001751788 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS, MATERIALS, SYNTH RESINS & NONVULCAN ELASTOMERS [2821] IRS NUMBER: 301128146 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2211 H.H. DOW WAY CITY: MIDLAND STATE: MI ZIP: 48674 BUSINESS PHONE: 9896361000 MAIL ADDRESS: STREET 1: 2211 H.H. DOW WAY CITY: MIDLAND STATE: MI ZIP: 48674 FORMER COMPANY: FORMER CONFORMED NAME: Dow Inc. DATE OF NAME CHANGE: 20190305 FORMER COMPANY: FORMER CONFORMED NAME: Dow Holdings Inc. DATE OF NAME CHANGE: 20180831 4 1 wf-form4_161352665917361.xml FORM 4 X0306 4 2021-02-11 0 0001751788 DOW INC. DOW 0001490029 Fitterling James R 2211 H.H. DOW WAY MIDLAND MI 48674 1 1 0 0 Chairman and CEO Common Stock 2021-02-11 4 A 0 33040 0 A 96808 D Common Stock 2021-02-12 4 M 0 136500 32.57 A 197160 D Common Stock 2021-02-12 4 D 0 100352 57.85 D 96808 D Common Stock 922.8446 I By 401(k) Plan Common Stock 1971.0425 I By 401(k) Plan ESOP Common Stock 203986 I By Trust Non-Qualified Stock Option (Right to Buy) 57.67 2021-02-11 4 A 0 244940 0 A 2031-02-11 Common Stock 244940.0 244940 D Non-Qualified Stock Option (Right to Buy) 32.57 2021-02-12 4 M 0 136500 0 D 2023-02-15 Common Stock 136500.0 39446 D Restricted stock units to be delivered in one installment on or about February 11, 2024, subject to continued employment. 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 price is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $57.70 to $58.03. 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. This option will vest in three equal installments beginning on February 11, 2022. Option shares will be used to satisfy withholding taxes. This option is fully vested and exercisable. /s/ James R Fitterling 2021-02-16