Statement of Changes in Beneficial Ownership (4)
June 02 2021 - 12:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Garratt John W |
2. Issuer Name and Ticker or Trading Symbol
DOLLAR GENERAL CORP
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DG
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & Chief Financial Officer |
(Last)
(First)
(Middle)
100 MISSION RIDGE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/28/2021 |
(Street)
GOODLETTSVILLE, TN 37072
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/28/2021 | | M | | 12890 | A | $84.67 | 37697 | D | |
Common Stock | 5/28/2021 | | M | | 9421 | A | $70.68 | 47118 | D | |
Common Stock | 5/28/2021 | | M | | 8000 | A | $92.98 | 55118 | D | |
Common Stock | 5/28/2021 | | S | | 30311 | D | $205.0469 (1) | 24807 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $84.67 | 5/28/2021 | | M | | | 12890 | (2) | 3/16/2026 | Common Stock | 12890 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $70.68 | 5/28/2021 | | M | | | 9421 | 4/1/2021 | 3/22/2027 | Common Stock | 9421 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $92.98 | 5/28/2021 | | M | | | 8000 | (3) | 3/21/2028 | Common Stock | 8000 | $0 | 19510 (4) | D | |
Explanation of Responses: |
(1) | The reported price is a weighted average price. These shares were sold in multiple transactions ranging from $205.00 to $205.25, inclusive. The reporting person undertakes to provide Dollar General Corporation, any security holder of Dollar General Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(2) | The option vested as to 4,668 shares on April 1, 2019 and 8,222 shares on April 1, 2020. |
(3) | The option vested as to 6,879 shares on April 1, 2019 and 1,121 shares on April 1, 2020. |
(4) | The number of securities in Row 3 of Column 9 represents 5,756 options vested on April 1, 2020, 6,877 options vested on April 1, 2021, and 6,877 options scheduled to vest on April 1, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Garratt John W 100 MISSION RIDGE GOODLETTSVILLE, TN 37072 |
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| EVP & Chief Financial Officer |
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Signatures
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/s/ John Garratt | | 6/2/2021 |
**Signature of Reporting Person | Date |
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