0001751788-21-000070.txt : 20210311 0001751788-21-000070.hdr.sgml : 20210311 20210311185807 ACCESSION NUMBER: 0001751788-21-000070 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210309 FILED AS OF DATE: 20210311 DATE AS OF CHANGE: 20210311 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: 21734813 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_161550706591848.xml FORM 4 X0306 4 2021-03-09 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 2021-03-09 4 M 0 39446 32.57 A 125539 D Common Stock 2021-03-09 4 D 0 28731 63.191 D 96808 D Common Stock 2021-03-10 4 M 0 84000 47.31 A 168448 D Common Stock 2021-03-10 4 D 0 71640 64.117 D 96808 D Common Stock 227061 I By Trust Common Stock 922.8446 I By 401(k) Plan Common Stock 1971.0425 I By 401(k) Plan ESOP Non-Qualified Stock Option (Right to Buy) 32.57 2021-03-09 4 M 0 39446 0 D 2023-02-15 Common Stock 39446.0 0 D Non-Qualified Stock Option (Right to Buy) 47.31 2021-03-10 4 M 0 84000 0 D 2024-02-14 Common Stock 84000.0 10998 D 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 $63.11 to $63.32. 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. The price is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $63.95 to $64.37. 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 is fully vested and exercisable. /s/ James R Fitterling 2021-03-10