SEC Form 4 · accession 0001127602-17-014119
DOLLAR TREE, INC. · DLTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bob Sasser
Officer — Chief Executive Officer · Director
Period of report
Apr 1, 2017
Accepted (ET)
Apr 4, 2017 · 6:35 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 Stock | Apr 1, 2017 | M | 25,410 | $0.00 | A | 113,055 | D | |
| Common Stock | Apr 1, 2017 | F | 12,121 | $78.46 | D | 100,934 | D | |
| Common StockF4,F5 | Apr 1, 2017 | M | 7,347 | $0.00 | A | 108,281 | D | |
| Common Stock | Apr 1, 2017 | F | 3,505 | $78.46 | D | 104,776 | 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 UnitF5,F6 | $0.00 | Apr 1, 2017 | M | 25,410 | D | Apr 1, 2015 | Apr 1, 2015 | Common Stock | 25,410 | 0 | D |
| Restricted Stock UnitF4,F5 | $0.00 | Apr 1, 2017 | M | 7,347 | D | Apr 1, 2017 | Apr 1, 2017 | Common Stock | 7,347 | 0 | D |
Explanation of responses
- F1Portion vested at anniversary of three-year award.
- F2Shares deemed surrendered in payment of tax liability resulting from vesting of restricted stock units.
- F3Award fully vest at third anniversary of the grant date.
- F4The award will fully vest on April 1, 2017.
- F5Convert without cost to shares of common stock on a one-for-one basis.
- F6The 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.