SEC Form 4 · accession 0001127602-17-016398
CALERES INC · CAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mahendra R Gupta
Director
Period of report
Apr 29, 2017
Accepted (ET)
May 2, 2017 · 5:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000014707
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F1,F2 | — | Apr 29, 2017 | A | 651 | A | — | — | Common Stock | 651 | 10,718 | D |
Explanation of responses
- F1Each unit of phantom stock represents the right to receive cash equivalent to the fair market value of a share of common stock of the Company.
- F2The phantom stock units will be settled in cash in annual installments over a five-year or ten-year period, or in a lump sum in accordance with the Director's prior election, when the Director's service as a director terminates.
- F3Includes 624 phantom stock units which previously were inadvertently included in Table I as shares of Common Stock on the Director's January 30, 2017 filing.