SEC Form 4 · accession 0001127602-16-045327
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
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 6:05 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 StockF1 | Mar 3, 2016 | M | 38,402 | $0.00 | A | 572,502 | D | |
| Common Stock | Mar 3, 2016 | F | 15,158 | $28.55 | D | 557,344 | D | |
| Common Stock | Mar 3, 2016 | D | 23,244 | $28.55 | D | 534,100 | D | |
| Common Stock | holding | — | — | — | 7,886 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Cash-settled performance share unitsF3,F2 | — | Mar 3, 2016 | A | 38,402 | A | Mar 3, 2016 | Mar 3, 2016 | Common Stock | 38,402 | 38,402 | D |
| Cash-settled performance share unitsF1,F2 | — | Mar 3, 2016 | M | 38,402 | D | Mar 3, 2016 | Mar 3, 2016 | Common Stock | 38,402 | 0 | D |
Explanation of responses
- F1The cash-settled performance share units were deemed to have settled for an equivalent number of shares of Caleres, Inc. Common Stock.
- F21 - for - 1
- F3Represents issuance of units pursuant to performance award covering fiscal years 2013, 2014, and 2015, as approved for payment by the Compensation Committee on March 3, 2016.