SEC Form 5 · accession 0000028917-18-000142
DILLARD'S, INC. · DDS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise Alexandra Lucie
Officer — Vice President
Period of report
Feb 3, 2018
Accepted (ET)
Mar 20, 2018 · 7:15 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 AF4 | May 22, 2017 | G | 550 | $0.00 | A | 37,482 | D | |
| Common Stock - Retirement PlanF3 | holding | — | — | — | 2,926 | D | ||
| Common Class AF1 | holding | — | — | — | 38,423 | I | See footnote (1) | |
| Common Class AF2 | holding | — | — | — | 2,753 | I | See footnote (2) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Trustee on shares held in Trust accounts.
- F2Grantor for shares held in child's Trust accounts.
- F3Between January 29, 2017 and February 3, 2018, the reporting person acquired 133 shares of Dillard's Class A Common Stock under the Dillard's 401(k) plan. This acquisition is exempt under Rule 16b-3(c).
- F4This amount has been adjusted to account for a record discrepancy resulting from the rounding of fractional shares.