SEC Form 4 · accession 0001127602-16-068462
DOLLAR TREE, INC. · DLTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Maxwell
Officer — Chief Supply Chain Officer
Period of report
Nov 27, 2016
Accepted (ET)
Nov 28, 2016 · 12:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000935703
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 27, 2016 | M | 888 | $0.00 | A | 888 | D | |
| Common Stock | Nov 27, 2016 | F | 294 | $89.18 | D | 594 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2,F4 | $0.00 | Nov 27, 2016 | M | 888 | D | Nov 27, 2016 | Nov 27, 2016 | Common Stock | 888 | 1,776 | D |
Explanation of responses
- F1Portion vested at anniversary of three-year award.
- F2Convert without cost to shares of common stock on a one-for-one basis.
- F3Shares deemed surrendered in payment of tax liability resulting from vesting of restricted stock units.
- F4The Compensation Committee certified on 3/9/2016 that the Company achieved its 2015 performance target for performanced-based restricted stock units granted on 11/27/2015, and that shares will vest in approximately three equal installments, beginning on the first anniversary of the award date, subject to continued employment.