SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/01/2019 | 3. Issuer Name and Ticker or Trading Symbol Corteva, Inc. [ CTVA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 35,630.9956(1) | D | |
Common Stock | 256(2) | I | Held by spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Deferred Restricted Stock Units | (3) | (3) | Common Stock | 4,734.0348 | (4) | D |
Explanation of Responses: |
1. On June 1, 2019, the Reporting Person received a dividend of one (1) share of Corteva, Inc. common stock for every three (3) shares of DowDuPont Inc. held by the Reporting Person, and the Reporting Person's equity awards denominated in DowDuPont common stock were adjusted, in part, into equity awards denominated in Corteva common stock, all as described in Corteva's Registration Statement on Form 10 filed with the Securities and Exchange Commission on May 6, 2019. This amount includes restricted stock units, deferred stock units and related dividend equivalent units. |
2. On June 1, 2019, the Reporting Person received a dividend of one (1) share of Corteva, Inc. common stock for every three (3) shares of DowDuPont Inc. held by the Reporting Person, all as described in Corteva's Registration Statement on Form 10 filed with the Securities and Exchange Commission on May 6, 2019. |
3. Deferred restricted stock units are payable in cash in lump sum or installments at the election of the Reporting Person, and do not carry an exercisable date or expiration date. |
4. There is generally no conversion price for these deferred restricted stock units. Each deferred restricted stock unit is the equivalent of one share of common stock of the Issuer. |
Remarks: |
/s/Robert Hahm, attorney-in-fact | 06/05/2019 | |
** 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 5 (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. |