SEC Form 4 · accession 0001127602-18-012001
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
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 2:42 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 | Mar 15, 2018 | A | 12,000 | $0.00 | A | 91,733 | D | |
| Common Stock | Mar 18, 2018 | F | 2,997 | $31.50 | D | 88,736 | D | |
| Common Stock | Mar 19, 2018 | M | 2,000 | $3.33 | A | 90,736 | D | |
| Common StockF2 | Mar 19, 2018 | S | 2,000 | $31.81 | D | 88,736 | D | |
| Common Stock | holding | — | — | — | 5,394 | 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)F3 | $3.33 | Mar 19, 2018 | M | 2,000 | D | — | Mar 4, 2019 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Restricted stock vests 50% after 2 years and 50% after 3 years.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 27, 2017.
- F3This option became exercisable in ten equal annual installments beginning 3/4/2010