SEC Form 4 · accession 0000072333-18-000110
NORDSTROM INC · JWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Nordstrom Jr.
Officer — President, Stores
Period of report
Jul 5, 2018
Accepted (ET)
Jul 6, 2018 · 4:28 pm EDT
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 | Jul 5, 2018 | M | 2,874 | $42.48 | A | 469,116 | D | |
| Common StockF1,F2 | Jul 5, 2018 | S | 2,874 | $52.5095 | D | 466,242 | D | |
| Common Stock | holding | — | — | — | 5,533 | I | By 401(k) Plan, per Plan statement dated 6/30/2018. | |
| Common Stock | holding | — | — | — | 429 | I | By wife | |
| Common Stock | holding | — | — | — | 1,845 | I | By wife in 401(k) Plan, per Plan statement dated 6/30/2018. | |
| Common StockF3 | holding | — | — | — | 250,000 | I | See | |
| Common Stock | holding | — | — | — | 24,592 | I | By self as trustee for benefit of child | |
| Common Stock | holding | — | — | — | 24,592 | I | By self as trustee for benefit of child | |
| Common Stock | holding | — | — | — | 24,593 | I | By self as trustee for benefit of child |
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 | $42.48 | Jul 5, 2018 | M | 2,874 | D | — | Feb 25, 2021 | Common Stock | 2,874 | 0 | D |
Explanation of responses
- F1The option exercise and sales reported herein are pursuant to a 10b5-1 Trading Plan entered into on 6/25/2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.50 to $52.54, 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.
- F3By self as trustee for my benefit and the benefit of my children under the James F. Nordstrom, Jr. 2017 Annuity Trust.
- F4Exercisable in four equal annual installments commencing on 2/25/2012.