SEC Form 4 · accession 0001127602-17-012432
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 16, 2017
Accepted (ET)
Mar 20, 2017 · 5:03 pm EDT
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,F2 | Mar 16, 2017 | S | 3,900 | $32.0001 | D | 591,523 | D | |
| Common Stock | Mar 19, 2017 | F | 20,845 | $27.63 | D | 570,678 | D | |
| Common StockF3 | Mar 20, 2017 | A | 80,000 | $0.00 | A | 650,678 | D | |
| Common Stock | holding | — | — | — | 8,262 | I | Indirect holdings through 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
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 January 13, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.005, 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.
- F3Restricted Stock vests 100% after 4 years.