0001751788-21-000114.txt : 20210511 0001751788-21-000114.hdr.sgml : 20210511 20210511171110 ACCESSION NUMBER: 0001751788-21-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210510 FILED AS OF DATE: 20210511 DATE AS OF CHANGE: 20210511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ungerleider Howard I CENTRAL INDEX KEY: 0001514396 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38646 FILM NUMBER: 21912393 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_162076745027718.xml FORM 4 X0306 4 2021-05-10 0 0001751788 DOW INC. DOW 0001514396 Ungerleider Howard I 2211 H.H. DOW WAY MIDLAND MI 48674 0 1 0 0 President and CFO Common Stock 2021-05-10 4 M 0 104100 32.57 A 209767 D Common Stock 2021-05-10 4 D 0 72932 69.425 D 136835 D Common Stock 2021-05-10 4 G 0 31168 0 D 105667 D Common Stock 2021-05-10 4 G 0 31168 0 A 133952 I By Trust Common Stock 921.9855 I By 401(k) Plan ESOP Common Stock 283.4881 I By 401(k) Plan Non-Qualified Stock Option (Right to Buy) 32.57 2021-05-10 4 M 0 104100 0 D 2023-02-15 Common Stock 104100.0 104101 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 net shares were not sold. The price is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $69.40 to $69.51. 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 granted in February 2013, and expiring on February 15, 2023, is fully vested and exercisable. /s/ Howard I. Ungerleider 2021-05-11