SEC Form 4 · accession 0001179110-16-021680
ROSS STORES, INC. · ROST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Fassio
Officer — President, Chief Dev. Officer
Period of report
Mar 11, 2016
Accepted (ET)
Mar 15, 2016 · 2:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000745732
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 11, 2016 | M | 10,000 | $6.9525 | A | 283,148 | D | |
| Common Stock | Mar 11, 2016 | S | 10,000 | $58.00 | D | 273,148 | D | |
| Common StockF1 | holding | — | — | — | 495,451 | I | by Trust A | |
| Common StockF2 | holding | — | — | — | 129,728 | I | by Trust B |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F3 | $6.9525 | Mar 11, 2016 | M | 10,000 | D | — | Mar 16, 2016 | Common Stock | 10,000 | 8,000 | D |
Explanation of responses
- F1Securities held in the name of James S. Fassio Revocable Trust.
- F2Securities held in the name of James S. Fassio 2012 Dynasty Irrevocable Trust.
- F3Option is exercisable as it vests in monthly increments beginning the first full month from date of grant with a vested ratio of 1/72 for the first year, 2/72 for the second year and 3/72 for the third year.