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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Caleres Inc | NYSE:CAL | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.40 | 1.09% | 36.97 | 37.505 | 36.80 | 37.17 | 297,345 | 01:00:00 |
[X]
|
ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
[ ]
|
TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
A.
|
Full title of the plan and the address of the plan, if different from that of the issuer named below:
|
B.
|
Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
|
|
|
|
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||
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Financial Statements
|
|
|
|
|
|
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||
|
||
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||
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|
|
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||
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||
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December 31, 2016
|
|
December 31, 2015
|
||||||||||||||||||||
|
|
Non - Participant - Directed
|
|
Participant - Directed
|
|
Total
|
|
Non - Participant - Directed
|
|
Participant - Directed
|
|
Total
|
||||||||||||
Assets:
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Investments - at fair value (Note 3):
|
|
$
|
59,601,348
|
|
|
$
|
136,445,158
|
|
|
$
|
196,046,506
|
|
|
$
|
53,447,995
|
|
|
$
|
130,574,426
|
|
|
$
|
184,022,421
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Receivables:
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Employer contributions
|
|
131,386
|
|
|
—
|
|
|
131,386
|
|
|
128,017
|
|
|
—
|
|
|
128,017
|
|
||||||
Employee contributions
|
|
—
|
|
|
260,015
|
|
|
260,015
|
|
|
—
|
|
|
251,976
|
|
|
251,976
|
|
||||||
Notes receivable from participants
|
|
—
|
|
|
3,918,312
|
|
|
3,918,312
|
|
|
—
|
|
|
3,376,349
|
|
|
3,376,349
|
|
||||||
Total receivables
|
|
131,386
|
|
|
4,178,327
|
|
|
4,309,713
|
|
|
128,017
|
|
|
3,628,325
|
|
|
3,756,342
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Total assets
|
|
59,732,734
|
|
|
140,623,485
|
|
|
200,356,219
|
|
|
53,576,012
|
|
|
134,202,751
|
|
|
187,778,763
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Liabilities:
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Excess contributions payable
|
|
—
|
|
|
297,647
|
|
|
297,647
|
|
|
—
|
|
|
375,739
|
|
|
375,739
|
|
||||||
Total liabilities
|
|
—
|
|
|
297,647
|
|
|
297,647
|
|
|
—
|
|
|
375,739
|
|
|
375,739
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Net assets available for benefits
|
|
$
|
59,732,734
|
|
|
$
|
140,325,838
|
|
|
$
|
200,058,572
|
|
|
$
|
53,576,012
|
|
|
$
|
133,827,012
|
|
|
$
|
187,403,024
|
|
|
|
Year Ended
|
|
Year Ended
|
||||||||||||||||||||
|
|
December 31, 2016
|
|
December 31, 2015
|
||||||||||||||||||||
|
|
Non - Participant - Directed
|
|
Participant - Directed
|
|
Total
|
|
Non - Participant - Directed
|
|
Participant - Directed
|
|
Total
|
||||||||||||
|
|
|
|
|
|
|
|
|
|
|
||||||||||||||
Additions:
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Contributions:
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Employer contributions
|
|
$
|
3,691,378
|
|
|
$
|
—
|
|
|
$
|
3,691,378
|
|
|
$
|
3,827,593
|
|
|
$
|
—
|
|
|
$
|
3,827,593
|
|
Employee contributions
|
|
—
|
|
|
8,725,692
|
|
|
8,725,692
|
|
|
—
|
|
|
8,646,972
|
|
|
8,646,972
|
|
||||||
Rollovers
|
|
—
|
|
|
985,574
|
|
|
985,574
|
|
|
—
|
|
|
897,196
|
|
|
897,196
|
|
||||||
Total contributions
|
|
3,691,378
|
|
|
9,711,266
|
|
|
13,402,644
|
|
|
3,827,593
|
|
|
9,544,168
|
|
|
13,371,761
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Interest income on notes receivable from participants
|
|
—
|
|
|
144,322
|
|
|
144,322
|
|
|
—
|
|
|
133,319
|
|
|
133,319
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Investment income (loss):
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Dividends
|
|
529,979
|
|
|
2,173,343
|
|
|
2,703,322
|
|
|
537,165
|
|
|
2,010,476
|
|
|
2,547,641
|
|
||||||
Net realized and unrealized gain (loss) on investments
|
|
11,015,518
|
|
|
10,705,273
|
|
|
21,720,791
|
|
|
(10,081,421
|
)
|
|
(3,018,539
|
)
|
|
(13,099,960
|
)
|
||||||
Total investment income (loss)
|
|
11,545,497
|
|
|
12,878,616
|
|
|
24,424,113
|
|
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(9,544,256
|
)
|
|
(1,008,063
|
)
|
|
(10,552,319
|
)
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Total additions
|
|
15,236,875
|
|
|
22,734,204
|
|
|
37,971,079
|
|
|
(5,716,663
|
)
|
|
8,669,424
|
|
|
2,952,761
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Deductions:
|
|
|
|
|
|
|
|
|
|
|
||||||||||||||
Benefits paid to participants
|
|
5,723,982
|
|
|
19,359,920
|
|
|
25,083,902
|
|
|
4,548,174
|
|
|
11,643,082
|
|
|
16,191,256
|
|
||||||
Administrative and other expenses
|
|
8,050
|
|
|
223,579
|
|
|
231,629
|
|
|
143,111
|
|
|
225,131
|
|
|
368,242
|
|
||||||
Total deductions
|
|
5,732,032
|
|
|
19,583,499
|
|
|
25,315,531
|
|
|
4,691,285
|
|
|
11,868,213
|
|
|
16,559,498
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Net increase (decrease)
|
|
9,504,843
|
|
|
3,150,705
|
|
|
12,655,548
|
|
|
(10,407,948
|
)
|
|
(3,198,789
|
)
|
|
(13,606,737
|
)
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Participant transfer (out of)/in to funds
|
|
(3,348,121
|
)
|
|
3,348,121
|
|
|
—
|
|
|
(1,845,808
|
)
|
|
1,845,808
|
|
|
—
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Net assets available for benefits at beginning of year
|
|
53,576,012
|
|
|
133,827,012
|
|
|
187,403,024
|
|
|
65,829,768
|
|
|
135,179,993
|
|
|
201,009,761
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Net assets available for benefits at end of year
|
|
$
|
59,732,734
|
|
|
$
|
140,325,838
|
|
|
$
|
200,058,572
|
|
|
$
|
53,576,012
|
|
|
$
|
133,827,012
|
|
|
$
|
187,403,024
|
|
Level 1 -
|
Quoted prices in active markets that are unadjusted and accessible at the measurement date for identical, unrestricted assets or liabilities;
|
Level 2 -
|
Quoted prices for identical assets and liabilities in markets that are not active, quoted prices for similar assets and liabilities in active markets or financial instruments for which significant inputs are observable, either directly or indirectly;
|
Level 3 -
|
Prices or valuations that require inputs that are both significant to the fair value measurement and unobservable.
|
|
|
|
|
Fair Value Measurements
|
||||||||||||
December 31, 2016
|
|
Total
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
||||||||
Investments:
|
|
|
|
|
|
|
|
|
||||||||
Money market fund
|
|
$
|
12,312,036
|
|
|
$
|
12,312,036
|
|
|
$
|
—
|
|
|
$
|
—
|
|
Mutual funds
|
|
124,133,122
|
|
|
124,133,122
|
|
|
—
|
|
|
—
|
|
||||
Caleres, Inc. Stock Fund
|
|
59,601,348
|
|
|
59,601,348
|
|
|
—
|
|
|
—
|
|
||||
Total investments
|
|
$
|
196,046,506
|
|
|
$
|
196,046,506
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
|
|
|
Fair Value Measurements
|
||||||||||||
December 31, 2015
|
|
Total
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
||||||||
Investments:
|
|
|
|
|
|
|
|
|
||||||||
Money market fund
|
|
$
|
13,744,027
|
|
|
$
|
13,744,027
|
|
|
$
|
—
|
|
|
$
|
—
|
|
Mutual funds
|
|
116,830,399
|
|
|
116,830,399
|
|
|
—
|
|
|
—
|
|
||||
Caleres, Inc. Stock Fund
|
|
53,447,995
|
|
|
53,447,995
|
|
|
—
|
|
|
—
|
|
||||
Total investments
|
|
$
|
184,022,421
|
|
|
$
|
184,022,421
|
|
|
$
|
—
|
|
|
$
|
—
|
|
(a)
|
|
(b) Identity of Issue, Borrower, Lessor or Similar Party
|
|
(c) Description of Investment Including Maturity Date, Rate of Interest, Collateral, Par or Maturity Value
|
|
(d) Cost
(1)
|
|
(e) Current Value
|
|||||
|
|
American Funds EuroPacific Growth Fund Class R6
|
|
231,185
|
|
|
|
|
$
|
10,412,588
|
|
||
|
|
American Funds Growth Fund of America Class R6
|
|
336,301
|
|
|
|
|
15,402,951
|
|
|||
*
|
|
Caleres, Inc. Stock Fund
|
|
630,941
|
|
|
$
|
32,564,248
|
|
|
59,601,348
|
|
|
|
|
DFA Emerging Markets Value Fund Class I
|
|
61,245
|
|
|
|
|
1,466,828
|
|
|||
|
|
Dodge & Cox Income Fund
|
|
854,022
|
|
|
|
|
11,606,157
|
|
|||
|
|
Dodge & Cox Stock Fund
|
|
138,285
|
|
|
|
|
25,485,973
|
|
|||
|
|
Principal Diversified Real Asset Fund Institutional Class
|
|
9,374
|
|
|
|
|
101,241
|
|
|||
|
|
Vanguard Extended Market Index Fund
|
|
4,306
|
|
|
|
|
313,130
|
|
|||
|
|
Vanguard Federal Money Market Fund
|
|
12,312,036
|
|
|
|
|
12,312,036
|
|
|||
|
|
Vanguard FTSE All-World ex-US Index Fund
|
|
6,893
|
|
|
|
|
189,205
|
|
|||
|
|
Vanguard Institutional Index Fund
|
|
122,661
|
|
|
|
|
22,963,715
|
|
|||
|
|
Vanguard Target Retirement Income Fund
|
|
34,159
|
|
|
|
|
437,573
|
|
|||
|
|
Vanguard Target Retirement 2015
|
|
133,014
|
|
|
|
|
1,936,108
|
|
|||
|
|
Vanguard Target Retirement 2020
|
|
119,631
|
|
|
|
|
3,380,772
|
|
|||
|
|
Vanguard Target Retirement 2025
|
|
338,231
|
|
|
|
|
5,530,075
|
|
|||
|
|
Vanguard Target Retirement 2030
|
|
99,164
|
|
|
|
|
2,895,585
|
|
|||
|
|
Vanguard Target Retirement 2035
|
|
171,904
|
|
|
|
|
3,049,570
|
|
|||
|
|
Vanguard Target Retirement 2040
|
|
89,376
|
|
|
|
|
2,700,064
|
|
|||
|
|
Vanguard Target Retirement 2045
|
|
117,004
|
|
|
|
|
2,210,207
|
|
|||
|
|
Vanguard Target Retirement 2050
|
|
64,556
|
|
|
|
|
1,961,861
|
|
|||
|
|
Vanguard Target Retirement 2055
|
|
46,678
|
|
|
|
|
1,536,158
|
|
|||
|
|
Vanguard Target Retirement 2060
|
|
2,605
|
|
|
|
|
75,650
|
|
|||
|
|
Vanguard Total Bond Market Index Fund
|
|
34,396
|
|
|
|
|
366,315
|
|
|||
|
|
William Blair Small Cap Growth Fund Class I
|
|
369,839
|
|
|
|
|
10,111,396
|
|
|||
|
|
Total investments (held at end of year)
|
|
|
|
|
|
196,046,506
|
|
||||
|
|
|
|
|
|
|
|
|
|||||
*
|
|
Various participants
|
|
Notes receivable from participants
(2)
|
|
|
|
3,918,312
|
|
||||
|
|
|
|
|
|
|
|
|
|||||
|
|
|
|
|
|
|
|
$
|
199,964,818
|
|
|||
|
|
|
|
|
|
|
|
|
|||||
|
|
* Exempt party-in-interest to the plan
|
|
|
|
|
|||||||
|
|
(1)
Cost basis is not required for participant-directed investments.
|
|
|
|
|
|||||||
|
|
(2)
Notes receivable from participants have interest rates of 4.25% - 4.75% and maturities through 2031.
|
|
|
|
|
|
CALERES, INC. 401(k) SAVINGS PLAN
|
|
|
|
|
|
|
Date: June 20, 2017
|
|
/s/ Kenneth H. Hannah
|
|
|
Kenneth H. Hannah
|
|
|
Senior Vice President and
|
|
|
Chief Financial Officer of
|
|
|
Caleres, Inc. and
|
|
|
Member of the Administration Committee
|
|
|
Under the Caleres, Inc.
|
|
|
401(k) Savings Plan
|
|
|
On Behalf of the Plan
|
Exhibit No.
|
|
Description
|
23
|
|
Consent of Independent Registered Public Accounting Firm
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 Year Caleres Chart |
1 Month Caleres Chart |
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