SEC Form 4 · accession 0001127602-18-026522
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
Jun 14, 2018
Accepted (ET)
Aug 30, 2018 · 6:51 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 | Aug 28, 2018 | S | 17,769 | $38.2592 | D | 473,534 | D | |
| Common StockF1,F3 | Aug 28, 2018 | S | 2,231 | $38.4875 | D | 471,303 | D | |
| Common StockF4 | Jun 14, 2018 | G | 214,798 | $0.00 | A | 215,237 | I | By Trust |
| Common Stock | holding | — | — | — | 8,607 | 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 June 4, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.45 to $38.45, 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.46 to $38.545, 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 (3) to this Form 4.
- F4The reporting person is the trustee of the trust and the spouse is the beneficiary.