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Deere & Co. (DE)

Filed: 1 Dec 21, 10:57am
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Stone John H

(Last) (First) (Middle)
ONE JOHN DEERE PLACE

(Street)
MOLINE IL 61265

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
DEERE & CO [ DE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President, WW C&F & Pwr Syst
3. Date of Earliest Transaction (Month/Day/Year)
11/30/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
$1 Par Common Stock(1) 11/30/2021 M 2,000 A $87.46 12,666 D
$1 Par Common Stock(1) 11/30/2021 S 958 D $348.636 11,708 D
$1 Par Common Stock(1) 11/30/2021 M 10,068 A $88.185 21,776 D
$1 Par Common Stock(1) 11/30/2021 S 5,959 D $349.105 15,817 D
$1 Par Common Stock(1) 11/30/2021 M 5,750 A $78.24 21,567 D
$1 Par Common Stock(1) 11/30/2021 S 3,118 D $348.34 18,449(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Market Priced Options(1)(3) $87.46 11/30/2021 M 2,000 (4) 12/11/2023 Common Stock 2,000 $0 0 D
Market Priced Options(1)(3) $88.185 11/30/2021 M 10,068 (5) 12/10/2024 Common Stock 10,068 $0 0 D
Market Priced Options(1)(3) $79.24 11/30/2021 M 5,750 (6) 12/09/2015 Common Stock 5,750 $0 5,981 D
Explanation of Responses:
1. Exercise of Rule 16b-3 options and related sales of shares to cover exercise price and tax withholding requirements pursuant to Rule 10(b)5-1 stock option exercise plan adopted August 26, 2021.
2. Includes 3,300 restricted stock units granted under the John Deere Omnibus Equity and Incentive Plan and the John Deere 2020 Equity and Incentive Plan to be settled solely in shares. Units include the ability to have shares withheld to satisfy income tax obligations.
3. All options include the ability to withhold shares upon the exercise of the option to satisfy income tax obligations.
4. The options became exercisable on December 11, 2016.
5. The options became exercisable in three approximately equal tranches on December 10, 2015, 2016, and 2017.
6. The options became exercisable in three approximately equal tranches on December 9, 2016, 2017, and 2018.
/s/ Paul Wilczynski, Assistant Secretary, Deere & Company, Under Power of Attorney 12/01/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.