SEC Form 4 · accession 0000028917-17-000256
DILLARD'S, INC. · DDS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alex Dillard
Officer — President · Director
Period of report
Sep 25, 2017
Accepted (ET)
Sep 27, 2017 · 4:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000028917
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Class A | Sep 25, 2017 | A | 169 | $56.96 | A | 1,009,178 | D | |
| Common Class A - Retirement Plan | holding | — | — | — | 616 | D | ||
| Common Class AF1 | holding | — | — | — | 41,496 | I | See Footnote | |
| Common Class AF2 | holding | — | — | — | 7,300 | I | See Footnote | |
| Common Class AF3 | holding | — | — | — | 36,000 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Class BF1,F5,F4 | — | holding | — | — | — | — | — | Common Class A | 3,985,776 | 3,985,776 | I |
Explanation of responses
- F1These shares are held by W.D. Company, Inc. The reporting person owns 27.9% of W.D. Company, Inc. and is one of its directors and officers.
- F2Trustee of GST Trust
- F3Owned by Spouse
- F4Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis. Class B Common Stock has no expiration date.
- F5These shares of Class B Common Stock were previously reported in Table I and will now be reported in Table II, as a derivative security.
Remarks
Remarks: The reporting person disclaims beneficial ownership of the shares reported herein as indirectly beneficially owned, except to the extent of his pecuniary interest therein.