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Item 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES

19K characters. Original on sec.gov ·

Item 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES

1.Documents filed as part of this report:
1.Financial Statements. Reference is made to the Index to the Consolidated Financial Statements set forth under Part II, Item 8, on page 43 of this Form 10-K.
2.Financial Statement Schedules. All schedules for which provision is made in the applicable accounting regulations of the Securities and Exchange Commission are not required under the related instructions, are not applicable, or the information is included in the Consolidated Financial Statements, and therefore have been omitted.
3.Exhibits. The following exhibits, are filed as part of, or incorporated by reference into, this report.
Incorporated by Reference
ExhibitExhibit DescriptionFormExhibitFiling DateFiled Herewith
2.1Agreement and Plan of Merger, dated as of July 27, 2014, among Family Dollar Stores, Inc., Dollar Tree, Inc. and Dime Merger Sub, Inc.8-K2.17/29/2014
2.2Amendment No. 1, dated as of September 4, 2014, to the Agreement and Plan of Merger, dated as of July 27, 2014, among Family Dollar Stores, Inc., Dollar Tree Inc. and Dime Merger Sub, Inc.8-K2.19/5/2014
3.1Amended Articles of Incorporation of Dollar Tree, Inc., effective June 20, 20138-K3.16/21/2013
3.2Amended Bylaws of Dollar Tree, Inc., effective March 15, 20188-K3.13/16/2018
4.1Form of Common Stock Certificate8-K4.13/13/2008
4.2.1Indenture, dated as of February 23, 2015, by and between Family Tree Escrow, LLC and U.S. Bank National Association, as Trustee, relating to the 5.250% Senior Notes due 20208-K4.12/23/2015
4.2.2First Supplemental Indenture, dated as of July 6, 2015, among Dollar Tree, Inc., the Guarantors party thereto, and U.S. Bank National Association, as Trustee, to the Indenture dated as of February 23, 2015, by and between Family Tree Escrow, LLC and U. S. Bank National Association, as Trustee, relating to the 5.250% Senior Notes due 20208-K4.17/8/2015
4.3.1Indenture, dated as of February 23, 2015, by and between Family Tree Escrow, LLC and U.S. Bank National Association, as Trustee, relating to the 5.750% Senior Notes due 20238-K4.22/23/2015
4.3.2First Supplemental Indenture, dated as of July 6, 2015, among Dollar Tree, Inc., the Guarantors party thereto, and U.S. Bank National Association, as Trustee, to the Indenture dated as of February 23, 2015, by and between Family Tree Escrow, LLC and U. S. Bank National Association, as Trustee, relating to the 5.750% Senior Notes due 20238-K4.27/8/2015
4.4.1Registration Rights Agreement, dated as of February 23, 2015, by and among Dollar Tree, Inc., Family Tree Escrow, LLC and J.P. Morgan Securities LLC, relating to the 5.250% Senior Notes due 20208-K4.32/23/2015
4.4.2Joinder by the Guarantors party thereto, dated as of July 6, 2015, to the Registration Rights Agreement, dated as of February 23, 2015, by and among Dollar Tree, Inc., Family Tree Escrow, LLC and J.P. Morgan Securities LLC, relating to the 5.250% Senior Notes due 20208-K4.37/8/2015
4.5.1Registration Rights Agreement, dated as of February 23, 2015, by and among Dollar Tree, Inc., Family Tree Escrow, LLC and J.P. Morgan Securities LLC, relating to the 5.750% Senior Notes due 20238-K4.42/23/2015
4.5.2Joinder by the Guarantors party thereto, dated as of July 6, 2015, to the Registration Rights Agreement, dated as of February 23, 2015, by and among Dollar Tree, Inc., Family Tree Escrow, LLC and J.P. Morgan Securities LLC, relating to the 5.750% Senior Notes due 20238-K4.47/8/2015
10.1.1*2003 Non-Employee Director Stock Option PlanDEF 14AC4/30/2003
10.1.2*Second Amendment to the 2003 Non-Employee Director Stock Option Plan8-K10.73/3/2008
10.1.3*Third Amendment to the 2003 Non-Employee Director Stock Option Plan10-K10.14/1/2008
10.2*Form of Consulting Agreement between the Company and certain members of the Board of Directors8-K10.12/3/2005
Incorporated by Reference
ExhibitExhibit DescriptionFormExhibitFiling DateFiled Herewith
10.3*Form of Change in Control Retention Agreement, to be executed between the Company and the Chief Executive Officer; Chief Financial Officer; Sr. Vice President, Stores; Chief Merchandising Officer; Chief Logistics Officer; Chief People Officer; and Chief Information Officer8-K10.13/20/2007
10.4*Amended and Restated Severance Agreement, dated March 29, 2007, between the Company and Robert H. Rudman10-K10.64/4/2007
10.5.1*Post-Retirement Benefit Agreement, dated June 21, 2007, between the Company and H. Ray Compton10-Q10.39/12/2007
10.5.2*Letter Modification to Post-Retirement Benefit Agreement, dated October 10, 2013, between the Company and H. Ray Compton10-K10.14.23/14/2014
10.6*Amendments to the Company’s Stock Plans8-K10.51/23/2008
10.7*Policy for director compensation (as described in Item 1.01)8-KN/A1/23/2008
10.8*Assignment and Assumption Agreement, dated February 27, 2008, between Dollar Tree Stores, Inc. and Dollar Tree, Inc.8-K10.53/3/2008
10.9Store Lease at Castle Shops with DMK Associates and Related Renewals10-Q10.26/12/2008
10.10Store Lease with DMK Associates and Related Renewals10-Q10.36/12/2008
10.11.1*Change in Control Retention Agreement between the Company and Kevin Wampler, Chief Financial Officer8-K10.112/5/2008
10.11.2*Amendment to Change in Control Retention Agreement between the Company and Kevin Wampler, Chief Financial Officer8-K10.110/11/2011
10.12*Description of Dollar Tree, Inc. Management Incentive Compensation Plan10-Q10.15/19/2011
10.13.1*2011 Omnibus Incentive Plan effective as of March 17, 20118-K10.16/22/2011
10.13.2*First Amendment to the 2011 Omnibus Incentive Plan dated June 16, 201610-Q10.19/2/2016
10.14*Form of Long-Term Performance Plan Award Agreement under the 2011 Omnibus Incentive Plan8-K10.26/22/2011
10.15*Form of Restricted Stock Unit Agreement under the 2011 Omnibus Incentive Plan8-K10.36/22/2011
10.16*Form of Non-employee Director Option Agreement under the 2011 Omnibus Incentive Plan8-K10.46/22/2011
10.17*Form of Long-Term Performance Plan Award Agreement under the 2011 Omnibus Incentive Plan8-K10.13/21/2012
10.18*Form of Restricted Stock Unit Agreement under the 2011 Omnibus Incentive Plan8-K10.23/21/2012
10.19*Form of change in Control Retention Agreement between the Company and David Jacobs, Chief Strategy Officer10-Q10.28/16/2012
10.20*Restricted Stock Unit Agreement dated June 13, 2012 between the Company and Bob Sasser, Chief Executive Officer10-Q10.38/16/2012
10.21*Form of Change in Control Retention Agreement between the Company and Mike R. Matacunas, Chief Administrative Officer10-Q10.18/22/2013
10.22*Form of Change in Control Retention Agreement between the Company and William A. Old, Jr, Chief Legal Officer10-Q10.28/22/2013
10.23*Post-Retirement Benefits Agreement Between the Company and J. Douglas Perry dated November 4, 201310-K10.513/14/2014
10.24.1Credit Agreement, dated as of March 9, 2015, among Family Tree Escrow, LLC, to be merged with and into Dollar Tree, Inc., the Lenders and Issuing Banks party thereto and JPMorgan Chase Bank, N.A.8-K10.13/9/2015
Incorporated by Reference
ExhibitExhibit DescriptionFormExhibitFiling DateFiled Herewith
10.24.2Amendment No. 1, dated as of June 11, 2015, to the Credit Agreement, dated as of March 9, 2015, among Family Tree Escrow, LLC, to be merged with and into Dollar Tree, Inc., the Lenders and Issuing Banks party thereto and JPMorgan Chase Bank, N.A.8-K10.16/12/2015
10.24.3Amendment No. 3, dated as of August 30, 2016, to the Credit Agreement, dated as of March 9, 2015, among Dollar Tree, Inc. (as successor by merger to Family Tree Escrow, LLC), the Lenders and Issuing Banks party thereto and JPMorgan Chase Bank, N.A.8-K10.18/31/2016
10.24.4Amendment No. 4, dated as of September 22, 2016, to the Credit Agreement, dated as of March 9, 2015, among Dollar Tree, Inc., (as successor by merger to Family Tree Escrow, LLC), the Lenders and Issuing Banks party thereto and JPMorgan Chase Bank, N.A.8-K10.19/26/2016
10.25.1*Retention Letter, dated as of July 27, 2014, among Dollar Tree, Inc., Family Dollar Stores, Inc. and Howard R. Levine8-K10.17/8/2015
10.25.2*Amendment to the Retention Letter between the Company and Howard R. Levine, dated as of April 19, 201610-Q10.46/9/2016
10.26*Employment Agreement, dated as of December 28, 2012, between Family Dollar Stores, Inc. and Howard R. Levine8-K10.27/8/2015
10.27*Dollar Tree, Inc. 2015 Employee Stock Purchase Plan, effective September 1, 2015S-84.010/28/2015
10.28*Form of Severance Agreement for Executive Vice Presidents, dated as of October 9, 2012, between Family Dollar Stores, Inc. and its officers holding the title of Executive Vice President8-K10.110/15/2012
10.29*Form of Severance Agreement for Senior Vice Presidents between Family Dollar Stores, Inc. and its officers holding the title of Senior Vice President10-K10.3610/19/2012
10.30*Restricted Stock Unit Agreement dated March 18, 2016 between the Company and Gary Philbin, President of the combined enterprise8-K10.13/23/2016
10.31*Retention Agreement dated March 15, 2016 between the Company and Gary Maxwell, Chief Supply Chain Officer10-Q10.36/9/2016
10.32*Form of Executive Officer Nonstatutory Stock Option Agreement under the 2011 Omnibus Incentive Plan10-K10.543/28/2017
10.33*Executive Agreement dated December 30, 2016 between the Company and Duncan Mac Naughton, President of Family Dollar Stores, Inc. (portions of the exhibit have been omitted pursuant to a request for confidential treatment)10-K10.553/28/2017
10.34*Dollar Tree and Family Dollar Supplemental Deferred Compensation Plan10-Q10.18/24/2017
10.35*2013 Director Deferred Compensation Plan, as amended and restated effective December 31, 2016X
21.1Subsidiaries of the RegistrantX
23.1Consent of Independent Registered Public Accounting FirmX
31.1Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002X
31.2Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002X
32.1Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002X
32.2Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002X
Incorporated by Reference
ExhibitExhibit DescriptionFormExhibitFiling DateFiled Herewith
101The following financial statements from the Company's 10-K for the fiscal year ended February 3, 2018, formatted in XBRL: (i) Consolidated Income Statements, (ii) Consolidated Statements of Comprehensive Income, (iii) Consolidated Balance Sheets, (iv) Consolidated Statements of Shareholders' Equity, (v) Consolidated Statements of Cash Flows and (vi) Notes to Consolidated Financial StatementsX
*Management contract or compensatory plan or arrangement

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