SEC Form 4 · accession 0001127602-17-014122
DOLLAR TREE, INC. · DLTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Macon F Brock Jr.
Officer — Chairman of the Board · Director
Period of report
Apr 1, 2017
Accepted (ET)
Apr 4, 2017 · 6:41 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 StockF1,F2 | Apr 1, 2017 | M | 3,495 | $0.00 | A | 1,243,950 | D | |
| Common Stock | Apr 1, 2017 | F | 1,155 | $78.46 | D | 1,242,795 | D | |
| Common Stock | holding | — | — | — | 117,654 | I | 2015-2 GRAT (JPB) | |
| Common Stock | holding | — | — | — | 117,654 | I | 2015-2 GRAT (MFB) | |
| Common Stock | holding | — | — | — | 150,431 | I | 2015-3 GRAT (JPB) | |
| Common Stock | holding | — | — | — | 150,431 | I | 2015-3 GRAT (MFB) | |
| Common Stock | holding | — | — | — | 753,285 | I | Spouse | |
| Common Stock | holding | — | — | — | 488,790 | I | Trusts (Descendants') |
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 | Apr 1, 2017 | M | 3,495 | D | Apr 1, 2015 | Apr 1, 2015 | Common Stock | 3,495 | 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.
- F4Vests in three approximately equal annual installments, beginning on the first anniversary of the award date, subject to continued employment.