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Shareholder Information
Why Invest?
John Deere has developed a strategy to grow and sustain its successful global business.
Since 1837, John Deere has capitalized on the opportunities presented by increasing population, prosperity, and urbanization. Today, broad trends based on population and income growth, especially in developing nations, are driving agricultural output and infrastructure investment. Further, technological advances and agricultural mechanization are expanding existing markets and opening new ones.
We believe John Deere is exceptionally well-positioned to seize these opportunities and fulfill our higher purpose of helping improve living standards for people everywhere through our commitment to those linked to the land.
Forms
Frequently Asked Questions
Deere & Company Stock
- Where are Deere & Company shares traded?
Deere & Company shares are traded on the New York Stock Exchange (NYSE) under the symbol DE.
Transfer Agent
- Who is your transfer agent?
Broadridge Corporate Issuer Solutions, Inc.
P.O. Box 1342
Brentwood, NY 11717
800-268-7369 (inside USA, US territories & Canada)
720-399-2074 (outside USA, US territories & Canada)
855-627-5080 (hearing impaired)
shareholder.broadridge.com/DE
shareholder@broadridge.com
Ownership Questions
- How do I transfer my stock and retain as registered shares?
If you hold certificates that you wish to transfer, please follow the steps below:
- Confirm that Broadridge is the transfer agent - our name will usually appear on the certificate.
- Mail your certificates to Broadridge at the address below with a completed Legal Transfer Form which can be downloaded at the right:
Broadridge Corporate Issuer Solutions
P.O. Box 1342
Brentwood, NY 11717 - The Legal Transfer Form must be appropriately signed by all registered holders, exactly as the name(s) appear on the face of the certificate(s) or must be accompanied by a stock power bearing the appropriate signature(s).
- The signature(s) must be guaranteed by a financial institution participating in an officially recognized Medallion Signature Guarantee Program (see below). Note that this is different from having your signature notarized.
- Include any additional instructions indicating how you wish the shares to be transferred. These instructions should provide the name, address and Social Security Number for each transferee and should indicate the number of shares to be transferred. In some cases additional documents will be required to complete the transfer. Please refer to page two of the Legal Transfer Form for additional document requirements based on your stock transferring situation.
If you hold shares in DRS Book-Entry (no certificate), please follow the steps below:
- Confirm that Broadridge is the transfer agent - our name will usually appear on your account statement.
- Please send us a letter of instruction signed by all registered owners stating your intent to transfer.
- The letter of instruction must be accompanied by a Legal Transfer Form bearing the appropriate signature(s).
- The signature(s) must be guaranteed by a financial institution participating in an officially recognized Medallion Signature Guarantee Program (see below). Note that this is different from having your signature notarized.
- Include any additional instructions indicating how you wish the shares to be transferred. These instructions should provide the name, address and social security number for each transferee and should indicate the number of shares to be transferred. In some cases additional documents will be required to complete the transfer. Please refer to page two of the Legal Transfer Form for additional document requirements based on your stock transferring situation.
- How do I transfer registered shares to beneficial or street shares via my broker?
- Contact your broker directly.
- Your broker will ask for some basic information about your account, including:
- The issuer of the shares
- The transfer agent name (Broadridge)
- Your account number (obtain from your statement or online account)
- The number of shares you wish to transfer
- Whether you hold your shares in DRS (book-entry) or certificate form
- The broker will then have the shares transferred from Broadridge to your brokerage account.
- How should shares for transfer be mailed to Broadridge?
We recommend that all certificates be sent by registered mail, return receipt requested. It is suggested that the shipment be insured for 2% of the current value of the shares. In the event of loss, a surety bond of 2% will be required to replace the certificates. A surety bond is typically obtained by paying a premium to the surety company equal to 2% of the current value of the shares being replaced.
- How do I obtain a surety bond?
You may obtain a surety bond from our independent insurance provider, The Chubb Corporation. Once you notify us of your certificate loss, we will initiate the process for you and then ask that you finalize the paperwork and submit the appropriate payment for processing.
- What is a medallion signature guarantee?
The Uniform Commercial Code (UCC) entitles transfer agents and corporate issuers to receive signature guarantees to protect them against fraudulent and unauthorized transfers. Securities and Exchange Commission (SEC) regulations define the financial institutions that are eligible to provide such signature guarantees, e.g., commercial banks, brokers, credit unions, savings and loan institution. Signature Guarantee Programs have been developed and eligible financial institutions which subscribe to such programs are issued "Medallion Guarantee Stamps". Transfer agents are obligated to ensure that such stamps appear on the transfer documents and are entitled to refuse a transfer of shares if a signature is not guaranteed with a stamp. A notary stamp is not acceptable when transferring the ownership of stock.
- How can I sell my shares that are held in certificate form?
Broadridge can support the sale of your shares if they are held in DRS (no certificates) as part of a Dividend Reinvest Plan (DRIP), Employee Stock Purchase Plan (ESPP) or Direct Stock Purchase Plan (DSPP). Your corporation you own stock in may also support a stock sale plan. If the stock issuer supports these stock options, you may deposit your certificated share(s) into the DRS Book Entry form or Plan form in order to sell through Broadridge. Otherwise, if your shares are not part of such plans, you must take your certificate(s) to a securities broker to sell the shares. There are many options when it comes to securities brokers, so make sure you are choosing one that will best suit your needs. To sell shares that are held in a plan, please refer to the FAQ section on "Stock and Dividend Plans."
- How do I avoid unclaimed property status?
There are three ways to avoid unclaimed property status for your Deere & Company account:
- Keep the address on your account up to date by contacting Broadridge, our transfer agent at 800-268-7369 or by logging in to your account online at shareholder.broadridge.com/DE.
- Cash your dividend checks
- Vote your proxy
Ownership Types
- What is a "registered" shareholder?
A registered shareholder is the owner of record on the books of the corporation, generally kept by the transfer agent. The registered shareholder may be an individual, a trust, a broker, etc. Registered shareholders receive dividends, proxies and other communications directly from the corporation via the transfer agent or the corporation directly.
- What are "street name shares" or "beneficial shares"?
Securities held in a brokerage account, and registered in the name of the broker or other institution, are referred to as being in "street name" or "beneficial shares." If you keep your stock with your broker in a broker account, you are a "street name" holder and are not directly registered on the company's records as maintained by the transfer agent. Company mailings, including dividends, will reach you through your broker. If you wish to move your shares from registered to beneficial ownership, Broadridge or your broker will help you do so.
- What are the more common types of security registrations?
This registration gives sole ownership to the single individual and requires that the person's legal name be used. The use of a first name is desirable. Example: Mary Smith is preferred instead of M Smith.
Joint Registration
Several types of Joint Registration exist including Joint Tenants with right of survivorship, Tenants by the Entirety and Tenants in common.
Joint Tenants with Rights of Survivorship
This registration is used when two or more individuals have equal claim to the shares. Should one of the parties die, ownership of the shares passes to the surviving tenant(s). Example: Mary Smith & Barbara Smith Jt Ten
Tenants In Common
This registration allows an appropriate portion of the shares to pass to the estate of the holder upon the holder's death rather than to the surviving tenant. Example: Mary Smith & Barbara Smith Ten Com
Custodial Registration
There are several custodial registrations possible. A custodial registration requires the names of the custodian and the beneficial owner. A custodial registration for a minor is a common form of this registration type. For example: Mary Smith Cust Don Smith NY Unif Trans Min Act.
Trust Registration
Registering shares in the name of a Trust requires that specific information be provided: the name of the trust and/or the maker or beneficiary and the date of the trust instrument. For example: Mary Jones Tr U/A dtd 4/15/98 The Mary Jones Trust FBO Mary Jones.
Taxes
- When will I receive my 1099?
Form 1099s are typically mailed or sent electronically in January according to IRS guidelines. You should receive your 1099 by mid-February.
- How can I obtain a copy of my 1099?
You may download and print a copy of a Broadridge issued 1099 by accessing your online account at investor.broadridge.com. If you have not established an online account, you may follow the online instructions or contact us via the 800 number on your account statement or this site.
- What is a W-9 Certification?
The IRS Form W-9 is used to certify that the payee is not subject to backup withholding or to certify the payee's claim of exemption from backup withholding. A requester (i.e. Broadridge) may seek certification of the payee's status (i.e. individual shareholder) as a U.S. person who is an exempt payee in financial transactions with a foreign partner. A payee who fails to submit the W-9 risks the assumption that he or she is a foreign person who must pay withholding taxes. Domestic or U.S. citizens can certify their Social Security Number or Tax Identification Number (TIN) online by logging into their Shareholder Portal account via the Log In button at the top of this page or on investor.broadridge.com and navigating to “Tax Certification” on the right margin of your account once you have logged in.
- What is a W-8 Certification?
Non-US persons (whether individuals or entities, such as foreign corporations) are subject to US tax at a flat 30% rate on certain kinds of income they receive from US sources. Sometimes an Income Tax Treaty negotiated with the US and another country can be used to reduce this tax rate.
The tax is withheld at source by the payer of the income. This payer, also known as a “withholding agent”, has responsibility for withholding the required tax and paying it over to the US Internal Revenue Service (IRS). In this case, Broadridge Corporate Issuer Solutions, Inc. is the "withholding agent". In the event withholding is required and the withholding agent fails in its duties, the agent can be held personally liable for the tax. For this reason, payers are usually very careful to ensure they have undertaken all the necessary actions, part of which is to obtain a certification from the payee as to whether the payee is a US person or a foreign person.
The 30% (or lower Treaty rate) withholding tax is required only for payments made to foreign payees. It is not required when the payee is a US person. Foreign persons complete one of the forms in the Form W-8 series (e.g., Form W-8 BEN). US persons do not complete a form in the W-8 series. Instead, they use the Form W-9.
When the payer of the income has the W-8BEN on file, the payer will be apprised that the payee is a non-US person and will undertake its withholding duties. If the payee is a US person with a completed Form W-9, the payer will know it does not have to withhold this 30% tax.
For additional information on W-8 certification please visit http://www.irs.gov/uac/Form-W-8BEN-Certificate-of-Foreign-Status-of-Beneficial-Owner-for-United-States-Tax-Withholding.
Stock and Dividend Plans
- Where can I find information on stock and dividend plans?
Dividend Reinvest Plans (DRIP) and Direct Stock Purchase Plans (DSPP) are plans provided on behalf of corporations to simplify investment activity. DSPPs offer investors the opportunity to buy shares directly from the corporation, via the transfer agent, often without involving a broker. Some plans do require that investors own a minimum number of shares prior to participating in a plan. The costs associated with DSPPs may be higher or lower than the costs of using a broker.
DRIPs offer shareholders the convenience of reinvesting dividends, minimizing the expense and effort associated with dividend checks.
Note that all shares held in a plan will be in DRS (book-entry) form. Certificates will not be issued for shares held in a plan.
Enrolling in a plan
- DRIP - You may elect to have your dividends reinvested in any of the following ways:
- Make the selection via your online account. You will find the information under the "Dividend Payment Options" section of the website.
- Make the selection by filling out the form on your account statement and returning it to Broadridge.
- DSPP – Some companies offer DSPPs, so please visit your online account to determine if a plan is available to you. If so, you may enroll in the plan in any of the following ways:
- Make the investment via your online account. You will find the information under the "Plan Purchase Options" section of the website.
Changing plan elections
You may change your plan investment decisions by taking the following steps:- Visit your online account and change your investment elections in the appropriate plan section.
- Change your elections by completing the form on your account statement and returning it to Broadridge.
Selling shares held in a plan
You may sell shares held in a plan by taking one of the following steps:- Transfer shares to your broker via the transfer process (see FAQ "Ownership Questions").
- Request that Broadridge facilitate the sale of your shares by completing the form attached to your account statement and returning it to Broadridge.
- DRIP - You may elect to have your dividends reinvested in any of the following ways:
- How do I replace lost or stale dated dividend checks?
You can replace lost or stale dated dividend checks by contacting our transfer agent, Broadridge, at
800-268-7369, or by accessing your account online at shareholder.broadridge.com/DE.
Lost Certificates
- What steps do I take to replace a lost certificate?
If you have lost your share certificates, we can help replace the security into electronic book entry form. The following information is provided for your assistance. Please note that Deere & Co. has elected to issue replaced securities into electronic form. The replacement of the securities will be placed into book-entry holdings and a paper certificate will not be issued.
Notify Broadridge in writing of the lost stock certificate.
Notification via fax to: (215) 553-5402; attention Lost Securities Dept.
Notification via letter to:
Broadridge Corporate Issuer Solutions
P.O. Box 1342
Brentwood, NY 11717Broadridge will place a "stop transfer" on the stock certificate(s) reported lost to prevent fraudulent transactions and will mail you instructions and the proper documents necessary to replace the shares represented by the stock certificates into electronic form. Paperwork is typically mailed out within 7-10 business days after the initial request is received.
IMPORTANT: You must be able to provide the name of the security, the certificate number(s), the name of the registered owner(s), and the number of shares in all communications. Please indicate if the registered stockholder is deceased so the appropriate documents may be forwarded to you. If you do not have this information, you should call our Call Center for the client-specific contact information.
If the stock certificate(s) are located prior to replacement, mail or fax a signed stop release letter to Broadridge.
Account Maintenance
- What is a "registered" shareholder?
A registered shareholder is the owner of record on the books of the corporation, generally kept by the transfer agent. The registered shareholder may be an individual, a trust, a broker, etc. Registered shareholders receive dividends, proxies and other communications directly from the corporation via the transfer agent or the corporation directly.
- What are "street name shares" or "beneficial" shares?
Securities held in a brokerage account, and registered in the name of the broker or other institution, are referred to as being in "street name" or "beneficial shares." If you keep your stock with your broker in a broker account, you are a "street name" holder and are not directly registered on the company's records as maintained by the transfer agent. Company mailings, including dividends, will reach you through your broker. If you wish to move your shares from registered to beneficial ownership or vice versa, please contact your broker to initiate an electronic transfer of shares.
- What are the more common types of security registrations?
Individual Registration - This registration gives sole ownership to the single individual and requires that the person's legal name be used. The use of a first name is desirable. Example: Mary Smith is preferred instead of M. Smith.
Joint Registration - Several types of Joint Registration exist including Joint Tenants with right of survivorship, Tenants by the Entirety and Tenants in Common.
Joint Tenants with Rights of Survivorship - This registration is used when two or more individuals have equal claim to the shares. Should one of the parties die, ownership of the shares passes to the surviving tenant(s). Example: Mary Smith & Barbara Smith JT TEN or JTWROS.
Tenants In Common - This registration allows an appropriate portion of the shares to pass to the estate of the holder upon the holder's death rather than to the surviving tenant. Example: Mary Smith & Barbara Smith Ten Com.
Custodial Registration - There are several custodial registrations possible. A custodial registration requires the names of the custodian and the beneficial owner. A custodial registration for a minor is a common form of this registration type. For example: Mary Smith Cust Don Smith NY Unif Trans Min Act.
Trust Registration - Registering shares in the name of a Trust requires that specific information be provided: the name of the trust and/or the maker or beneficiary and the date of the trust instrument. For example: Mary Jones Tr U/A dtd 4/15/98 The Mary Jones Trust FBO Mary Jones.
Unclaimed Property
- Why is my account considered dormant?
Under unclaimed or abandoned property statutes, states may consider investor accounts dormant where there is an absence of documented, owner-generated contact or when multiple attempts to contact the investor have resulted in returned mail. These rules apply within a defined period of time: typically 3 or 5 years and if there is no owner-initiated contact, the shareholder’s stock is considered “dormant”. In accordance with individual state unclaimed or abandoned property laws, due diligence letters are mailed out to shareholders to alert them that their accounts are at risk of becoming “dormant”.
- What is "escheatment"?
Escheatment is the term used to describe the end result of unclaimed property compliance. It is the annual process of complying with state law whereby the state gains custody of assets meeting certain criteria for presumptive abandonment. The state holds the assets, or their cash equivalent, until such time as they are claimed by the owner or legal claimant. To claim proceeds from abandoned property, the investor must directly contact the state. Links to individual state unclaimed property programs may be found by visiting www.unclaimed.org. Your account will be escheated to your last known resident state or to the company's state of incorporation if you are a foreign owner who resides outside the United States.
- Can the state take my shares if I hold a certificate?
Yes, your stock and any un-cashed checks in your account are reported to the state if the account is not kept up-to-date. Such reporting causes outstanding certificates in your possession to be cancelled and re-issued in the name of the State.
- How can I avoid escheatment of my property now that I have received a Due Diligence Letter?
You can update your account by contacting Broadridge Corporate Issuer Solutions, the transfer agent, by responding to the due diligence and by logging in via the Log In button at the top of the page or on investor.broadridge.com to authenticate your identity and demonstrate your control over your account. Additionally, you can contact us via mail or by contacting a client service representative by calling the company specific number found here.
- How can I avoid having an account which is considered dormant?
Please note that participation in the Dividend Reinvestment Plan is considered passive investing because dividends are automatically invested and not at the request of the shareholder. Such participation alone will not prevent your account from falling dormant in the future.
As a shareholder, continue to make periodic contact with Broadridge to keep your date of last contact current. This can be accomplished in a number of ways:
- Log in to your online profile via the Log In button at the top of the page or on investor.broadridge.com and review past transactions, download tax information, or update your account information.
- Log on to the Interactive Voice Response System (IVR) to check account updates. The company specific number can be found here.
- Vote your proxy or be sure to cash a dividend payment.
Investor Inquiries
Broadridge Corporate Issuer Solutions
P.O. Box 1342
Brentwood, NY 11717
Phone: 800-268-7369
Intl: 720-399-2074
Hearing Impaired: 855-627-5080
Fax: 215-553-5402
shareholder@broadridge.com
M-F, 9 a.m. to 6 p.m. ET