SEC Form 4/A · accession 0000072333-16-000410
NORDSTROM INC · JWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Daniel F Little
Officer — Executive Vice President
Period of report
Dec 12, 2016
Accepted (ET)
Dec 29, 2016 · 12:53 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 StockF1,F2 | Dec 12, 2016 | M | 4,000 | $35.51 | A | 66,946 | D | |
| Common StockF1,F2 | Dec 12, 2016 | M | 1,400 | $12.58 | A | 68,346 | D | |
| Common StockF1,F2 | Dec 12, 2016 | S | 5,400 | $59.00 | D | 62,946 | D |
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,F2,F3,F4 | $35.51 | Dec 12, 2016 | M | 4,000 | D | — | Feb 27, 2018 | Common Stock | 4,000 | 0 | D |
| Employee Stock Option (right to buy)F1,F2,F5,F6 | $12.58 | Dec 12, 2016 | M | 1,400 | D | — | Feb 27, 2019 | Common Stock | 1,400 | 34,310 | 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.
- F2This amended Form 4 is being filed to report options that were exercised and shares that were sold but were not included in the original filing due to an administrative error.
- F3This 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.
- F4Exercisable in four equal annual installments commencing 2/28/2009.
- F5This 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.
- F6Exercisable in four equal annual installments commencing 2/27/2010.