SEC Form 4 · accession 0001127602-16-068647
DOLLAR TREE, INC. · DLTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua R Jewett
Officer — Chief Information Officer
Period of report
Nov 30, 2016
Accepted (ET)
Nov 30, 2016 · 2:27 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 Stock | Nov 30, 2016 | M | 1,974 | $76.97 | A | 6,063 | D | |
| Common Stock | Nov 30, 2016 | M | 2,090 | $68.92 | A | 8,153 | D | |
| Common Stock | Nov 30, 2016 | M | 1,875 | $67.95 | A | 10,028 | D | |
| Common Stock | Nov 30, 2016 | S | 434 | $88.6635 | D | 9,594 | D | |
| Common StockF1 | Nov 30, 2016 | S | 5,732 | $88.5864 | D | 3,862 | D | |
| Common Stock | Nov 30, 2016 | S | 550 | $88.2943 | D | 3,312 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F3,F4 | $76.97 | Nov 30, 2016 | M | 1,974 | D | — | Oct 14, 2024 | Common Stock | 1,974 | 2,961 | D |
| Stock Option (right to buy)F2,F4,F5 | $68.92 | Nov 30, 2016 | M | 2,090 | D | — | Oct 15, 2018 | Common Stock | 2,090 | 2,089 | D |
| Stock Option (right to buy)F2,F4,F6 | $67.95 | Nov 30, 2016 | M | 1,875 | D | — | Oct 9, 2017 | Common Stock | 1,875 | 0 | D |
Explanation of responses
- F1Represents the weighted average price for shares sold at the range between $88.5833 and $88.6. The filer will provide full information regarding the number of shares sold at each price upon request.
- F2Pursuant to the Merger Agreement dated July 6, 2015, each option to purchase shares of Family Dollar common stock that was outstanding immediately prior to the Effective Time was converted into an option to purchase a number of shares of Dollar Tree common stock determined by multiplying the number of shares of Family Dollar common stock subject to such option by the Award Exchange Ratio of 1.000, at an exercise price per share determined by dividing the orginal per share exercise price of the option by the Award Exchange Ratio of 1.000.
- F3Award granted on October 14, 2014.
- F4Each option becomes exercisable with respect to 40% of the underlying shares on the second anniversary of grant and with respect to an additional 30% on each of the third and fourth anniversaries of grant.
- F5Award was granted on October 15, 2013.
- F6Award granted on October 9, 2012.