SEC Form 4 · accession 0001127602-17-014115
DOLLAR TREE, INC. · DLTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary M Philbin
Officer — Enterprise President
Period of report
Apr 1, 2017
Accepted (ET)
Apr 4, 2017 · 6:27 pm EDT
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 StockF2 | Apr 1, 2017 | M | 10,164 | $0.00 | A | 69,805 | D | |
| Common Stock | Apr 1, 2017 | F | 4,833 | $78.46 | D | 64,972 | D | |
| Common StockF4 | Apr 1, 2017 | M | 6,297 | $0.00 | A | 71,269 | D | |
| Common Stock | Apr 1, 2017 | F | 2,995 | $78.46 | D | 68,274 | D | |
| Common Stock | holding | — | — | — | 15,815 | I | 2016 GRAT #2 | |
| Common Stock | holding | — | — | — | 20,616 | I | 2016 GRAT #3 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F5 | $0.00 | Apr 1, 2017 | M | 10,164 | D | Apr 1, 2015 | Apr 1, 2015 | Common Stock | 10,164 | 0 | D |
| Restricted Stock UnitF4,F2 | $0.00 | Apr 1, 2017 | M | 6,297 | D | Apr 1, 2017 | Apr 1, 2017 | Common Stock | 6,297 | 0 | 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 award will fully vest on April 1, 2017.
- F5The Compensation Committee certified on 3/11/2015 that the Company achieved its 2014 performance target for performanced-based restricted stock units granted on 4/1/2014 and that shares will vest in approximately three equal installments, beginning on the first anniversary of the award date, subject to continued employment.