Item 5. Other Information
ITEM 5.
OTHER INFORMATION:
During the three months ended October 28, 2023,
none of the Company’s
directors or officers (as defined
in
Rule
16a-1(f)
of
the
Securities
Exchange
Act
of
1934,
as
amended)
adopted
or
terminated
a
“Rule
10b5-1 trading
arrangement” or
a “
non-Rule
10b5-1
trading arrangement”
(as such
terms are
defined in
Item 408 of Regulation S-K).
ITEM 6.
EXHIBITS:
Exhibit No.
Item
3.1
Registrant’s Amended and Restated Certificate of Incorporation, incorporated by
reference to Exhibit 3.1 to Form 10-Q of the Registrant for the quarter ended May
2, 2020.
3.2
Registrant’s Amended and Restated By-Laws, incorporated by reference to Exhibit
3.2 to Form 10-Q of the Registrant for the quarter ended May 2, 2020.
10.1**
Second Amendment, dated as of August 9, 2023, to Credit Agreement, dated as
of May 19 2022, among the Registrant, the banks party thereto and Wells Fargo
Bank, National Association.
10.2*
Third Amendment, dated as of October 24, 2023, to Credit Agreement, dated as
of May 19 2022, among the Registrant, the banks party thereto and Wells Fargo
Bank, National Association.
31.1*
Rule 13a-14(a)/15d-14(a) Certification of Principal Executive Officer.
31.2*
Rule 13a-14(a)/15d-14(a) Certification of Principal Financial Officer.
32.1*
Section 1350 Certification of Principal Executive Officer.
32.2*
Section 1350 Certification of Principal Financial Officer.
101.1*
The following materials
from Registrant’s Quarterly
Report on Form
10-Q for the
fiscal quarter
ended October
28, 2023,
formatted in
Inline XBRL:
(i) Condensed
Consolidated Statements
of Income
(Loss) and
Comprehensive Income
(Loss) for
the
Three
Months
and
Nine
Months
Ended
October
28,
2023
and
October
29,
2022;
(ii)
Condensed
Consolidated
Balance
Sheets
at
October
28,
2023
and
January 28, 2023;
(iii) Condensed Consolidated Statements
of Cash Flows for
the
Nine
Months
Ended
October
28,
2023
and
October
29,
2022;
(iv)
Condensed
Consolidated
Statements
of
Stockholders’
Equity
for
the
Nine
Months
Ended
October 28, 2023 and October 29, 2022; and (v) Notes to Condensed Consolidated
Financial Statements.
104.1
Cover Page
Interactive Data
File
(Formatted in
Inline
XBRL
and
contained
in
the Interactive Data Files submitted as Exhibit 101.1*)
THE CATO CORPORATION
PART II OTHER
INFORMATION
34
* Submitted electronically herewith.
** Included herein solely to correct an incorrect hyperlink
in the Exhibit Index to the
Company’s Quarterly Report on Form 10-Q for the fiscal quarter ended July 29, 2023.
THE CATO CORPORATION
PART II OTHER
INFORMATION
35
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this
report to be signed on its behalf by the undersigned thereunto duly
authorized.
THE CATO
CORPORATION
November 21, 2023
/s/ John P.
D. Cato
Date
John P.
D. Cato
Chairman, President and
Chief Executive Officer
November 21, 2023
/s/ Charles D. Knight
Date
Charles D. Knight
Executive Vice President
Chief Financial Officer
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.