SEC Info - Herzlinger Regina E - ‘5’ for 10/31/97 re: Deere & Co.

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Herzlinger Regina E – ‘5’ for 10/31/97 re: Deere & Co.

As of: Monday, 12/15/97 · For: 10/31/97 · Accession #: 1047469-97-7825 · File #: 1-04121

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/15/97  Herzlinger Regina E               5          Director    1:12K  Deere & Co.                       Toppan Merrill-FA

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 5           Annual Statement of Changes in Beneficial              4±    23K 
                Ownership of Securities by an Insider                            

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--------                                  UNITED STATES SECURITIES AND EXCHANGE COMMISSION             -----------------------------
 FORM 5                                                WASHINGTON, D.C. 20549                                   OMB APPROVAL        
--------                                                                                               -----------------------------
/ / CHECK BOX IF NO LONGER               ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP            OMB NUMBER:       3235-0362 
    SUBJECT TO SECTION 16.                                                                              EXPIRES: SEPTEMBER 30, 1998 
    FORM 4 OR FORM 5 OBLI-    Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,   ESTIMATED AVERAGE BURDEN    
    GATIONS MAY CONTINUE.        Section 17(a) of the Public Utility Holding Company Act of 1935 or     HOURS PER RESPONSE .... 1.0 
    SEE INSTRUCTION 1(b).                Section 30(f) of the Investment Company Act of 1940           -----------------------------
/ / FORM 3 HOLDINGS REPORTED                                                                                                        
/ / FORM 4 TRANSACTIONS REPORTED                                                                                                    
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1. Name and Address of Reporting Person*    2. Issuer Name and Ticker or Trading Symbol       6. Relationship of Reporting Person(s)
                                                                                                  to Issuer (Check all applicable)  
                                                                                                X   Director           10% Owner    
HERZLINGER      REGINA        E.                  Deere & Company (DE)                         ----               ----              
-------------------------------------------------------------------------------------------         Officer (give     Other (specify
   (Last)       (First)      (Middle)       3. IRS or Social Security  4. Statement for        ----         title ----      below)  
                                               Number of Reporting        Month/Year                        below)                  
                                               Person (Voluntary)                                                                   
Soldiers Field Road, Baker Hall 165                                       October 31, 1997          --------------------------      
-------------------------------------------        069-36-8881         -------------------------------------------------------------
                (Street)                                               5. If Amendment,       7. Individual or Joint/Group Reporting
                                                                          Date of Original             (check applicable line)      
                                                                           (Month/Year)         X Form Filed by One Reporting Person
                                                                                               ---                                  
                                                                                                  Form filed by More than One       
                                                                                                  Reporting Person                  
   Boston          MA           02163                                                          ---                                  
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   (City)       (State)         (Zip)       TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED       
------------------------------------------------------------------------------------------------------------------------------------
1. Title of Security             2. Trans-  3. Transac-   4. Securities Acquired (A) or  5. Amount of    6. Owner-     7. Nature of 
   (Instr. 3)                       action     tion          Disposed of (D)                Securities      ship          Indirect  
                                    Date       Code          (Instr. 3, 4 and 5)            Beneficially    Form:         Beneficial
                                               (Instr. 8)                                   Owned at        Direct        Ownership 
                                   (Month/                                                  end of          (D) or        (Instr. 4)
                                    Day/                  ------------------------------    Issuer's        Indirect                
                                    Year)                    Amount    (A) or    Price      Fiscal Year     (I)                     
                                                                       (D)                  (Instr. 3       (Instr. 4)              
                                                                                            and 4)                                  
------------------------------------------------------------------------------------------------------------------------------------
     $1 Per Common Stock *                                                                   3600***           D                    
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     $1 Per Common Stock *           **          15            12         A        **                                               
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*    References to Deere & Company common stock include associated preferred                                                        
     stock rights.                                                                                                                  

**   Shares acquired under the dividend reinvestment program from May 3, 1993 to                                                    
     August 1, 1997 at prices ranging from $23.02 (on a post stock-split basis)                                                     
     to $40.03.                                                                                                                     

***  Restricted stock acquired under 1993 Nonemployee stock ownership plan of                                                       
     issuer.  Grants are made annually in February of each year and restrictions                                                    
     are as authorized by the Board of Directors.  The Plan provides for tax                                                        
     withholding rights.                                                                                                            

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* If the form is filed by more than one reporting person, see instruction 4(b)(v).                                            (Over)
                                                                                                                     SEC 2270 (7/97)

                              POTENTIAL PERSONS WHO ARE TO 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.                                                                 

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FORM 5 (CONTINUED)          TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED                          
                                     (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)                                
------------------------------------------------------------------------------------------------------------------------           
1. Title of Derivative Security     2. Conver-   3. Trans-   4. Trans-     5. Number of             6. Date Exer-                  
   (Instr. 3)                          sion of      action      action        Derivative               cisable and                 
                                       Exercise     Date        Code          Securities Ac-           Expiration                  
                                       Price of    (Month/      (Instr. 8)    quired (A) or            Date                        
                                       Deriv-       Day/                      Disposed of              Month/Day/                  
                                       ative        Year)                     (D)                      Year)                       
                                       Security                               (Instr. 3, 4, and 5)                                 

                                                                                                    --------------------           

                                                                                                     Date      Expir-              
                                                                            ----------------------   Exer-     ation               
                                                                                                     cisable   Date                
                                                                               (A)        (D)                                      
                                                                                                                                   
------------------------------------------------------------------------------------------------------------------------           
Phantom Stock Units                    1-for-1      12/31/96        A       2399.284                   (1)       (1)               
------------------------------------------------------------------------------------------------------------------------           
Phantom Stock Units                    1-for-1       3/31/97        A        344.828                   (1)       (1)               
------------------------------------------------------------------------------------------------------------------------           
Phantom Stock Units                    1-for-1       6/30/97        A        273.349                   (1)       (1)               
------------------------------------------------------------------------------------------------------------------------           
Phantom Stock Units                    1-for-1       9/30/97        A         279.07                   (1)       (1)               
------------------------------------------------------------------------------------------------------------------------           
Phantom Stock Units                    1-for-1         (2)          A         33.861                   (2)       (2)               
------------------------------------------------------------------------------------------------------------------------           

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------------------------------------------------------------------------------------------                                         
7. Title and Amount of Under-       8. Price   9. Number     10. Owner-     11. Na-                                                
   lying Securities                    of         of Deriv-      ship           ture of                                            
   (Instr. 3 and 4)                    Deriv-     ative          of             Indirect                                           
                                       ative      Secur-         Deriv-         Bene-                                              
                                       Secur-     ities          ative          ficial                                             
                                       ity        Bene-          Secur-         Owner-                                             
                                       (Instr.    ficially       ity:           ship                                               
                                       5)         Owned          Direct         (Instr. 4)                                         
------------------------------------              at End         (D)                                                               
                                                  of Year        or In-                                                            
                     Amount or                    (Instr. 4)     direct                                                            
       Title         Number of                                   (I)                                                               
                     Shares                                      (Instr. 4)                                                        
                                                                                                                                   
------------------------------------------------------------------------------------------                                         
Common Stock         2399.284           40.50                        D                                                             
------------------------------------------------------------------------------------------                                         
Common Stock          344.828           43.50                        D                                                             
------------------------------------------------------------------------------------------                                         
Common Stock          273.349          54.875                        D                                                             
------------------------------------------------------------------------------------------                                         
Common Stock           279.07           53.75                        D                                                             
------------------------------------------------------------------------------------------                                         
Common Stock           33.861             (2)     3330.392           D                                                             
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Explanation of Responses:                                                                                                          

(1)  The phantom stock units were accrued under the Deere & Company Nonemployee                                                    
     Directors Deferred Compensation Plan and are to be settled solely in cash                                                     
     commencing in the calendar year following the reporting person's retirement                                                   
     from the Board.                                                                                                               

(2)  Acquired pursuant to the Deere & Company Nonemployee Directors Deferred                                                       
     Compensation Plan on quarterly dividend payment dates during fiscal 1997.                                                     
     The units are to be settled solely in cash, commencing in the calendar year                                                   
     following the reporting person's retirement from the Board.                                                                   

                                                                                  -----------------------------------  ----------- 
**Intentional misstatements or omissions of facts constitute                        **Signature of Reporting Person       Date     
  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 provided is insufficient, SEE Instruction 6 for procedure.                                                          

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the
form displays a currently valid OMB number.                                                                                  Page 2
                                                                                                                    SEC 2270 (7-97)

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Dates Referenced Herein and Documents Incorporated by Reference

		Referenced-On Page
This ‘5’ Filing	Date	First	Last	Other Filings

	9/30/98	1
Filed on:	12/15/97
For Period end:	10/31/97	1		10-K405
	8/1/97	1
	5/3/93	1
				List all Filings

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Filing Submission 0001047469-97-007825 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Herzlinger Regina E – ‘5’ for 10/31/97 re: Deere & Co.

As of: Monday, 12/15/97 · For: 10/31/97 · Accession #: 1047469-97-7825 · File #: 1-04121

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34Filing Table of Contents

Dates Referenced Herein and Documents Incorporated by Reference

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34
Filing Table of Contents