SEC Form 4 · accession 0001127602-16-044263
CALERES INC · CAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diane M Sullivan
Officer — CEO, Pres. & Chair. of Board · Director
Period of report
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 5:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000014707
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 26, 2016 | M | 17,784 | $21.2022 | A | 551,884 | D | |
| Common StockF1,F2 | Feb 26, 2016 | S | 17,784 | $27.8815 | D | 534,100 | D | |
| Common Stock | holding | — | — | — | 7,845 | I | Indirect holdings through 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $21.2022 | Feb 26, 2016 | M | 17,784 | D | — | Mar 2, 2016 | Common Stock | 17,784 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 16, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.68 to $28.10, inclusive. The reporting person undertakes to provide to Caleres, Inc., any security holder of Caleres, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
- F3The options become exercisable in four equal installements beginning 3/2/2007.