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CATO CORP — Director's Dealing 2007
Feb 14, 2007
34293_dirs_2007-02-14_8a9023b0-7b89-4a99-b749-a56487c403ab.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: CATO CORP (CTR)
CIK: 0000018255
Period of Report: 2007-01-31
Reporting Person: CATO JOHN P D (Director, CHAIRMAN/PRESIDENT/CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2006-06-19 | CLASS A COMMON STOCK | J | 4500 | — | Disposed | 205741 | Direct |
| 2006-06-19 | CLASS B COMMON STOCK | J | 4500 | — | Acquired | 690525 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| CLASS A COMMON STOCK | 9000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $5.50 | 2007-08-28 | CLASS B COMMON STOCK (450000) | 450000 | Direct |
| Stock Option (Right to Buy) | $8.71 | 2008-02-29 | CLASS B COMMON STOCK (300000) | 300000 | Direct |
| Stock Option (Right to Buy) | $8.48 | 2009-05-20 | CLASS B COMMON STOCK (150000) | 150000 | Direct |
| Stock Option (Right to Buy) | $8.83 | 2009-08-26 | CLASS B COMMON STOCK (150000) | 150000 | Direct |
| Stock Option (Right to Buy) | $5.50 | 2007-08-28 | CLASS B COMMON STOCK (3000) | 3000 | Indirect |
| Stock Option (Right to Buy) | $8.19 | 2009-11-01 | CLASS A COMMON STOCK (2250) | 2250 | Indirect |
Footnotes
F1: 2,250 Class A Shares from John P.D. Cato were transferred to N Alexandre Cato Irrevocable Tr dtd 11/24/98 as 2,250 Class A Shares in a private transaction. 2,250 Class A Shares from John P.D. Cato were transferred to Wayland H Cato V Irrevocable Tr dtd 11/24/98 as 2,250 Class A Shares in a private transaction.
2,250 Class B Shares from N Alexandre Cato Irrevocable Tr dtd 11/24/98 were transferred to John P.D. Cato as 2,250 Class B Shares in a private transaction. 2,250 Class B Shares from Wayland H Cato V Irrevocable Tr dtd 11/24/98 were transferred to John P.D. Cato as 2,250 Class B Shares in a private transaction.
F2: This option will vest in 5 equal annual increments beginning 8/28/98.
F3: This option will vest in 5 equal annual increments beginning 2/26/99.
F4: This option will vest in 5 equal annual increments beginning 5/20/2000.
F5: This option will vest in 5 equal annual increments beginning 8/26/2000.
F6: This option will vest in 5 equal annual increments beginning 11/01/2000.