SEC Form 4 · accession 0001127602-17-001598
CALERES INC · CAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel R Freidman
Officer — Div Pres, Whls Prod & Source
Period of report
Jan 10, 2017
Accepted (ET)
Jan 12, 2017 · 2:52 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 | Jan 10, 2017 | M | 2,000 | $3.33 | A | 84,373 | D | |
| Common StockF1 | Jan 10, 2017 | S | 2,000 | $32.0025 | D | 82,373 | D | |
| Common Stock | holding | — | — | — | 4,869 | I | Indirect holding 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)F2 | $3.33 | Jan 10, 2017 | M | 2,000 | D | — | Mar 4, 2019 | Common Stock | 2,000 | 4,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.025, 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 (1) to this Form 4.
- F2This option became exercisable in ten equal annual installments beginning 3/4/2010