SEC Form 4 · accession 0000072333-16-000402

NORDSTROM INC · JWN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Daniel F Little

Officer — Executive Vice President

Period of report

Dec 12, 2016

Accepted (ET)

Dec 14, 2016 · 1:03 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000072333

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Dec 12, 2016	M	11,104	$35.51	A	74,050	D
Common Stock^F1	Dec 12, 2016	M	8,600	$12.58	A	82,650	D
Common Stock^F1,F2	Dec 12, 2016	S	6,100	$59.00	D	76,550	D
Common Stock^F1,F3	Dec 12, 2016	S	13,604	$59.9027	D	62,946	D
Common Stock	holding	—	—		—	5,657	I	By 401(k) Plan, per Plan statement dated 11/30/2016

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)^F1,F4,F5	$35.51	Dec 12, 2016	M	11,104	D	—	Feb 27, 2018	Common Stock	11,104	4,000	D
Employee Stock Option (right to buy)^F1,F6,F7	$12.58	Dec 12, 2016	M	8,600	D	—	Feb 27, 2019	Common Stock	8,600	35,710	D
Stock Units^F9,F8,F10	—	Dec 13, 2016	A	169	A	—	—	Common Stock	169	6,886	D

Explanation of responses

F1The option exercise and sales reported herein are pursuant to a 10b5-1 Trading Plan entered into on 11/28/2016.
F10The stock units are convertible into issuer's common stock and payable upon the occurrence of certain events, including the reporting person's retirement from the issuer.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.46 to $59.41, inclusive. The reporting person undertakes to provide to Nordstrom, Inc., any security holder of Nordstrom, Inc., or the staff of the Securities and Exchange Comission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.49 to $60.36, inclusive. The reporting person undertakes to provide to Nordstrom, Inc., any security holder of Nordstrom, Inc., or the staff of the Securities and Exchange Comission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F4This option was originally reported as an option grant for 31,108 shares of common stock at an exercise price of $38.02 per share. The number of options and the exercise price were subsequently adjusted, pursuant to the terms of the 2004 Equity Incentive Plan, to reflect the effect of a proportional adjustment made in relation to a special dividend declared on October 1, 2015.
F5Exercisable in four equal annual installments commencing 2/28/2009.
F6This option was originally reported as an option grant for 71,297 shares of common stock at an exercise price of $13.47 per share. The number of options and the exercise price were subsequently adjusted, pursuant to the terms of the 2004 Equity Incentive Plan, to reflect the effect of a proportional adjustment made in relation to a special dividend declared on October 1, 2015.
F7Exercisable in four equal annual installments commencing 2/27/2010.
F81 for 1
F9Stock unit dividend paid on performance share units that were deferred at the election of the reporting person under the Executive Deferred Compensation Plan.