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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Market Priced Options (1) (3) | $ 80.61 | 01/29/2013 | M | 2,000 | (4) | 12/08/2020 | Common Stock | 2,000 | $ 0 | 16,090 | D | ||||
Market Priced Options (1) (3) | $ 52.25 | 01/29/2013 | M | 7,000 | (5) | 12/09/2019 | Common Stock | 7,000 | $ 0 | 46,219 | D | ||||
Market Priced Options (1) (3) | $ 39.665 | 01/29/2013 | M | 7,000 | (6) | 12/17/2018 | Common Stock | 7,000 | $ 0 | 12,242 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JENKINS JAMES R DEERE & COMPANY ONE JOHN DEERE PLACE MOLINE, IL 61265 |
Senior Vice President |
/s/ Paul Wilczynski, Assistant Secretary, Deere & Company, Under Power of Attorney | 01/30/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Exercise of Rule 16b-3 options and related sales of shares pursuant to a Rule 10(b)5-1 stock option exercise plan executed on March 1, 2012. |
(2) | Includes 62,227 restricted stock units subject to restrictions or limitations under the John Deere Omnibus Equity and Incentive Plan. Units include the ability to have shares withheld to satisfy income tax obligations. The reporting person also indirectly beneficially owns 42,000 common shares of the Issuer that are directly owned by a family trust. |
(3) | All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations. |
(4) | The options become exercisable in three approximately equal installments on December 8, 2011, December 8, 2012 and December 8, 2013. |
(5) | The options became exercisable in three approximately equal installments on December 9, 2010, December 9, 2011 and December 9, 2012. |
(6) | The options became exercisable in three approximately equal installments on December 17, 2009, December 17, 2010 and December 17, 2011. |