0001193125-12-459047.txt : 20121108 0001193125-12-459047.hdr.sgml : 20121108 20121108082105 ACCESSION NUMBER: 0001193125-12-459047 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121108 DATE AS OF CHANGE: 20121108 EFFECTIVENESS DATE: 20121108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DOW CHEMICAL CO /DE/ CENTRAL INDEX KEY: 0000029915 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS, MATERIALS, SYNTH RESINS & NONVULCAN ELASTOMERS [2821] IRS NUMBER: 381285128 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00590 FILM NUMBER: 121188503 BUSINESS ADDRESS: STREET 1: 2030 DOW CENTER CITY: MIDLAND STATE: MI ZIP: 48674-2030 BUSINESS PHONE: 989-636-1000 MAIL ADDRESS: STREET 1: 2030 DOW CENTER CITY: MIDLAND STATE: MI ZIP: 48674-2030 13F-HR 1 d435499d13fhr.txt FORM 13F HOLDINGS REPORT ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/2012 Check here if Amendment [_]; Amendment Number: ________________________________ This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. INSTITUTIONAL INVESTMENT MANAGER FILING THIS REPORT: Name: The Dow Chemical Company Address: 2030 Dow Center Midland, MI 48764 Form 13F File Number: 28-00590 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. PERSON SIGNING THIS REPORT ON BEHALF OF REPORTING MANAGER: Name: Ronald C. Edmonds Title: Vice President & Controller Phone: 989-636-5018 SIGNATURE, PLACE, AND DATE OF SIGNING: /s/ RONALD C. EDMONDS ----------------------- ------------- ----------------- Ronald C. Edmonds Midland, MI November 8, 2012 REPORT TYPE (CHECK ONE ONLY): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) ================================================================================ FORM 13F SUMMARY PAGE REPORT SUMMARY: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 69 Form 13F Information Table Value Total: $1,070,919 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name Page 1 of 1 FORM 13F For Period Ending: 9/30/2012 Name of Reporting Manager: The Dow Chemical Company

-------- ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ------------------ -------------- ------------ -------------------- ------------------------- -------- FAIR MARKET VALUE IN NAME OF ISSUER TITLE OF CLASS CUSIP NUMBER (000'S) SHARES SH/PRN CALL/PUT (A) SOLE ------------------ -------------- ------------ -------------------- --------- ------ -------- -------- ABBOTT LABS COM 002824 10 0 4,216 61,500 SH Sole ABERCROMBIE & FITCH CO CL A 002896 20 7 4,588 135,266 SH Sole AETNA INC NEW COM 00817Y 10 8 1,584 40,000 SH Sole ALLEGHENY TECHNOLOGIES INC CALL 01741R 90 2 24 10,000 SH CALL Sole ALLEGHENY TECHNOLOGIES INC PUT 01741R 95 2 15 10,000 SH PUT Sole AMAZON COM INC COM 023135 10 6 381 1,500 SH Sole AMGEN INC COM 031162 10 0 1,796 21,300 SH Sole AMICUS THERAPEUTICS INC COM 03152W 10 9 115 22,162 SH Sole APPLE INC COM 037833 10 0 2,869 4,300 SH Sole ARCHER DANIELS MIDLAND CO COM 039483 10 2 1,576 58,000 SH Sole AT&T INC COM 00206R 10 2 6,409 170,000 SH Sole BAKER HUGHES INC COM 057224 10 7 4,297 95,000 SH Sole BANK OF AMERICA CORPORATION COM 060505 10 4 1,943 220,000 SH Sole BAXTER INTL INC COM 071813 10 9 3,013 50,000 SH Sole BOSTON SCIENTIFIC CORP COM 101137 10 7 2,095 365,000 SH Sole BROADCOM CORP CL A 111320 10 7 3,247 93,900 SH Sole CISCO SYS INC COM 17275R 10 2 9,186 481,200 SH Sole CITIGROUP INC COM NEW 172967 42 4 2,258 69,000 SH Sole CORNING INC COM 219350 10 5 5,911 449,480 SH Sole ENTROPIC COMMUNICATIONS INC COM 29384R 10 5 1,784 306,444 SH Sole FACEBOOK INC CL A 30303M 10 2 3,504 161,846 SH Sole FACEBOOK INC CALL 30303M 90 2 19 20,000 SH CALL Sole GENERAL MTRS CO COM 37045V 10 0 6,188 272,000 SH Sole GILEAD SCIENCES INC COM 375558 10 3 2,229 33,600 SH Sole GOLDMAN SACHS GROUP INC COM 38141G 10 4 2,160 19,000 SH Sole GOODYEAR TIRE & RUBR CO COM 382550 10 1 1,219 100,000 SH Sole GREEN MTN COFFEE ROASTERS IN COM 393122 10 6 1,249 52,600 SH Sole HALLIBURTON CO COM 406216 10 1 3,133 93,000 SH Sole HARTFORD FINL SVCS GROUP INC COM 416515 10 4 4,374 225,000 SH Sole HOME INNS & HOTELS MGMT INC SPON ADR 43713W 10 7 427 17,200 SH Sole INSULET CORP COM 45784P 10 1 440 20,375 SH Sole ISHARES S&P GSCI COMMODITY I UNIT BEN INT 46428R 10 7 2,841 84,040 SH Sole ISHARES TR MSCI EMERG MKT 464287 23 4 290,509 7,030,718 SH Sole ISHARES TR S&P 500 INDEX 464287 20 0 57,675 399,412 SH Sole ISHARES TR S&P 100 IDX FD 464287 10 1 29,528 444,300 SH Sole JOHNSON CTLS INC COM 478366 10 7 2,672 97,500 SH Sole JOY GLOBAL INC COM 481165 10 8 1,200 21,400 SH Sole JOY GLOBAL INC CALL 481165 90 8 18 20,000 SH CALL Sole JUNIPER NETWORKS INC COM 48203R 10 4 5,920 346,000 SH Sole KRAFT FOODS INC CL A 50075N 10 4 4,218 102,000 SH Sole MCDONALDS CORP COM 580135 10 1 918 10,000 SH Sole MERCK & CO INC NEW COM 58933Y 10 5 4,758 105,500 SH Sole MICROSOFT CORP COM 594918 10 4 4,836 162,400 SH Sole MOLSON COORS BREWING CO CL B 60871R 20 9 2,388 53,000 SH Sole MOSAIC CO NEW COM 61945C 10 3 2,506 43,500 SH Sole NABORS INDUSTRIES LTD SHS G6359F 10 3 2,834 202,000 SH Sole NETAPP INC COM 64110D 10 4 3,827 116,400 SH Sole NEUROGESX INC COM 641252 10 1 96 459,032 SH Sole NVIDIA CORP COM 67066G 10 4 320 24,000 SH Sole NYSE EURONEXT COM 629491 10 1 1,086 44,063 SH Sole PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V 40 8 4,313 188,000 SH Sole PROCTER & GAMBLE CO COM 742718 10 9 11,270 162,490 SH Sole SELECT SECTOR SPDR TR SBI INT-FINL 81369Y 60 5 32,167 2,062,003 SH Sole SELECT SECTOR SPDR TR SBI INT-INDS 81369Y 70 4 24,413 668,107 SH Sole SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y 88 6 22,907 629,303 SH Sole SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y 30 8 19,215 536,294 SH Sole SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y 40 7 16,024 342,613 SH Sole SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y 50 6 4,333 58,963 SH Sole SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y 20 9 1,076 26,821 SH Sole SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X 10 9 28,291 211,050 SH Sole SPDR GOLD TRUST GOLD SHS 78463V 10 7 3,612 21,000 SH Sole SPDR S&P 500 ETF TR TR UNIT 78462F 10 3 354,479 2,462,856 SH Sole SPLUNK INC COM 848637 10 4 404 11,000 SH Sole SYMANTEC CORP COM 871503 10 8 5,188 288,200 SH Sole UNITED STATES STL CORP NEW COM 912909 10 8 286 15,000 SH Sole UNITED STATES STL CORP NEW CALL 912909 90 8 1 20,000 SH CALL Sole VANGUARD INDEX FDS LARGE CAP ETF 922908 63 7 15,109 230,000 SH Sole VANGUARD INTL MSCI EMR MKT EQUITY INDEX F ETF 922042 85 8 27,180 651,022 SH Sole WEATHERFORD INTERNATIONAL LT REG SHS H27013 10 3 254 20,000 SH Sole GRAND TOTAL 1,070,919

ITEM 6: ITEM 8: --------------------------------------- ----------------------------- ITEM 1: INVESTMENT DISCRETION ITEM 7: VOTING AUTHORITY ------------------ ----------------------------------------------- ----------------------------- NAME OF ISSUER (B) SHARED AS DEFINED (C) SHARED-OTHER MANAGERS (A) SOLE (B) SHARED (C) NONE ------------------ --------------------- ---------------- -------- --------- ---------- -------- ABBOTT LABS 61,500 ABERCROMBIE & FITCH CO 135,266 AETNA INC NEW 40,000 ALLEGHENY TECHNOLOGIES INC 10,000 ALLEGHENY TECHNOLOGIES INC 10,000 AMAZON COM INC 1,500 AMGEN INC 21,300 AMICUS THERAPEUTICS INC 22,162 APPLE INC 4,300 ARCHER DANIELS MIDLAND CO 58,000 AT&T INC 170,000 BAKER HUGHES INC 95,000 BANK OF AMERICA CORPORATION 220,000 BAXTER INTL INC 50,000 BOSTON SCIENTIFIC CORP 365,000 BROADCOM CORP 93,900 CISCO SYS INC 481,200 CITIGROUP INC 69,000 CORNING INC 449,480 ENTROPIC COMMUNICATIONS INC 306,444 FACEBOOK INC 161,846 FACEBOOK INC 20,000 GENERAL MTRS CO 272,000 GILEAD SCIENCES INC 33,600 GOLDMAN SACHS GROUP INC 19,000 GOODYEAR TIRE & RUBR CO 100,000 GREEN MTN COFFEE ROASTERS IN 52,600 HALLIBURTON CO 93,000 HARTFORD FINL SVCS GROUP INC 225,000 HOME INNS & HOTELS MGMT INC 17,200 INSULET CORP 20,375 ISHARES S&P GSCI COMMODITY I 84,040 ISHARES TR 7,030,718 ISHARES TR 399,412 ISHARES TR 444,300 JOHNSON CTLS INC 97,500 JOY GLOBAL INC 21,400 JOY GLOBAL INC 20,000 JUNIPER NETWORKS INC 346,000 KRAFT FOODS INC 102,000 MCDONALDS CORP 10,000 MERCK & CO INC NEW 105,500 MICROSOFT CORP 162,400 MOLSON COORS BREWING CO 53,000 MOSAIC CO NEW 43,500 NABORS INDUSTRIES LTD 202,000 NETAPP INC 116,400 NEUROGESX INC 459,032 NVIDIA CORP 24,000 NYSE EURONEXT 44,063 PETROLEO BRASILEIRO SA PETRO 188,000 PROCTER & GAMBLE CO 162,490 SELECT SECTOR SPDR TR 2,062,003 SELECT SECTOR SPDR TR 668,107 SELECT SECTOR SPDR TR 629,303 SELECT SECTOR SPDR TR 536,294 SELECT SECTOR SPDR TR 342,613 SELECT SECTOR SPDR TR 58,963 SELECT SECTOR SPDR TR 26,821 SPDR DOW JONES INDL AVRG ETF 211,050 SPDR GOLD TRUST 21,000 SPDR S&P 500 ETF TR 2,462,856 SPLUNK INC 11,000 SYMANTEC CORP 288,200 UNITED STATES STL CORP NEW 15,000 UNITED STATES STL CORP NEW 20,000 VANGUARD INDEX FDS 230,000 VANGUARD INTL EQUITY INDEX F 651,022 WEATHERFORD INTERNATIONAL LT 20,000 GRAND TOTAL