Howard I. Ungerleider - 04 May 2022 Form 4 Insider Report for DOW INC. (DOW)

Role
President and CFO
Signature
/s/ Howard I. Ungerleider
Issuer symbol
DOW
Transactions as of
04 May 2022
Net transactions value
-$3,760,961
Form type
4
Filing time
06 May 2022, 16:49:41 UTC
Previous filing
14 Feb 2022
Next filing
01 Aug 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction DOW Common Stock Options Exercise $3,390,570 +104,101 +91% $32.57 218,307 04 May 2022 Direct
transaction DOW Common Stock Sale $7,151,530 -104,101 -48% $68.70 114,206 04 May 2022 Direct F1, F2
transaction DOW Common Stock Gift $0 -8,064 -7.1% $0.000000 106,142 04 May 2022 Direct F3
transaction DOW Common Stock Gift $0 +8,064 +6% $0.000000 142,016 04 May 2022 By Trust
transaction DOW Common Stock Gift $0 -10,000 -7% $0.000000 132,016 04 May 2022 By Trust F4
holding DOW Common Stock 339 04 May 2022 By 401(k) Plan
holding DOW Common Stock 922 04 May 2022 By 401(k) Plan ESOP

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction DOW Non-Qualified Stock Option (Right to Buy) Options Exercise $0 -104,101 -100% $0.000000* 0 04 May 2022 Common Stock 104,101 $32.57 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 The price is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $68.56 to $68.96. 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.
F3 Total includes previously reported restricted stock units.
F4 Bona fide gift to a charitable foundation.
F5 This option granted in February 2013, and expiring on February 15, 2023, is fully vested and exercisable.