Legal & controls
Item 3 and Item 9A as filed · every verdict is the registrant’s own sentence, printed below it · a filing that fails an extraction gate reads “not extracted”
| Fiscal year | Filed | Item 3 | ICFR | disclosure controls | material weakness | Filing |
|---|---|---|---|---|---|---|
| 2026-01-31 | 2026-03-25 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · Legal Proceedings: From time to time, claims are asserted against the Company arising out of operations in the ordinary course of business. The Company currently is not a party to any pending litigation that it believes is likely to have a material adverse effect on the Company’s financial position, results of operations or cash flows. See Note 15, “Commitments and Contingencies,” for more information. Item 3A. Executive Officers of the Registrant: The executive officers of the Company and their ages as of March 25, 2026 are as follows: Name Age Position John P. D. Cato............................ Chairman, President and Chief Executive Officer Charles D. Knight........................ Executive Vice President, Chief Financial Officer Gordon Smith .............................. Executive Vice President, Chief Real Estate and Store Development Officer John P. D. Cato has been employed as an officer of the Company since 1981 and has been a director of the Company since 1986. Since January 2004, he has served as Chairman, President and Chief Executive Officer. From May 1999 to January 2004, he served as President, Vice Chairman of the Board and Chief Executive Officer. From June 1997… Item 9A · ICFR · Based on this evaluation, management concluded that our internal control over financial reporting was effective as of January 31, 2026. Item 9A · disclosure controls · Based on this evaluation, our Principal Executive Officer and Principal Financial Officer concluded that, as of January 31, 2026, our disclosure controls and procedures, as defined in Rule 13a-15(e), under the Securities Exchange Act of 1934 (the “Exchange Act”), were effective to ensure that information we are required to disclose in the reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms and that such information is accumulated and communicated to our management, including our Principal Executive Officer and Principal Financial Officer, as appropriate to allow timely decisions regarding required disclosure. | ||||||
| 2025-02-01 | 2025-03-31 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · Legal Proceedings: From time to time, claims are asserted against the Company arising out of operations in the ordinary course of business. The Company currently is not a party to any pending litigation that it believes is likely to have a material adverse effect on the Company’s financial position, results of operations or cash flows. See Note 15, “Commitments and Contingencies,” for more information. Item 3A. Executive Officers of the Registrant: The executive officers of the Company and their ages as of March 31, 2025 are as follows: Name Age Position John P. D. Cato............................ Chairman, President and Chief Executive Officer Charles D. Knight........................ Executive Vice President, Chief Financial Officer Gordon Smith .............................. Executive Vice President, Chief Real Estate and Store Development Officer John P. D. Cato has been employed as an officer of the Company since 1981 and has been a director of the Company since 1986. Since January 2004, he has served as Chairman, President and Chief Executive Officer. From May 1999 to January 2004, he served as President, Vice Chairman of the Board and Chief Executive Officer. From June 1997… Item 9A · ICFR · Based on this evaluation, management concluded that our internal control over financial reporting was effective as of February 1, 2025. Item 9A · disclosure controls · Based on this evaluation, our Principal Executive Officer and Principal Financial Officer concluded that, as of February 1, 2025, our disclosure controls and procedures, as defined in Rule 13a-15(e), under the Securities Exchange Act of 1934 (the “Exchange Act”), were effective to ensure that information we are required to disclose in the reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms and that such information is accumulated and communicated to our management, including our Principal Executive Officer and Principal Financial Officer, as appropriate to allow timely decisions regarding required disclosure. | ||||||
| 2024-02-03 | 2024-03-27 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · Legal Proceedings: From time to time, claims are asserted against the Company arising out of operations in the ordinary course of business. The Company currently is not a party to any pending litigation that it believes is likely to have a material adverse effect on the Company’s financial position, results of operations or cash flows. See Note 15, “Commitments and Contingencies,” for more information. Item 3A. Executive Officers of the Registrant: The executive officers of the Company and their ages as of March 27, 2024 are as follows: Name Age Position John P. D. Cato............................ Chairman, President and Chief Executive Officer Charles D. Knight........................ Executive Vice President, Chief Financial Officer Gordon Smith .............................. Executive Vice President, Chief Real Estate and Store Development Officer John P. D. Cato has been employed as an officer of the Company since 1981 and has been a director of the Company since 1986. Since January 2004, he has served as Chairman, President and Chief Executive Officer. From May 1999 to January 2004, he served as President, Vice Chairman of the Board and Chief Executive Officer. From June 1997… Item 9A · ICFR · Based on this evaluation, management concluded that our internal control over financial reporting was effective as of February 3, 2024. Item 9A · disclosure controls · Based on this evaluation, our Principal Executive Officer and Principal Financial Officer concluded that, as of February 3, 2024, our disclosure controls and procedures, as defined in Rule 13a-15(e), under the Securities Exchange Act of 1934 (the “Exchange Act”), were effective to ensure that information we are required to disclose in the reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms and that such information is accumulated and communicated to our management, including our Principal Executive Officer and Principal Financial Officer, as appropriate to allow timely decisions regarding required disclosure. | ||||||
| 2023-01-28 | 2023-03-23 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · Legal Proceedings: From time to time, claims are asserted against the Company arising out of operations in the ordinary course of business. The Company currently is not a party to any pending litigation that it believes is likely to have a material adverse effect on the Company’s financial position, results of operations or cash flows. See Note 15, “Commitments and Contingencies,” for more information. Item 3A. Executive Officers of the Registrant: The executive officers of the Company and their ages as of March 23, 2023 are as follows: Name Age Position John P. D. Cato............................ Chairman, President and Chief Executive Officer Charles D. Knight........................ Executive Vice President, Chief Financial Officer Gordon Smith .............................. Executive Vice President, Chief Real Estate and Store Development Officer John P. D. Cato has been employed as an officer of the Company since 1981 and has been a director of the Company since 1986. Since January 2004, he has served as Chairman, President and Chief Executive Officer. From May 1999 to January 2004, he served as President, Vice Chairman of the Board and Chief Executive Officer. From June 1997… Item 9A · ICFR · Based on this evaluation, management concluded that our internal control over financial reporting was effective as of January 28, 2023. Item 9A · disclosure controls · Based on this evaluation, our Principal Executive Officer and Principal Financial Officer concluded that, as of January 28, 2023, our disclosure controls and procedures, as defined in Rule 13a-15(e), under the Securities Exchange Act of 1934 (the “Exchange Act”), were effective to ensure that information we are required to disclose in the reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms and that such information is accumulated and communicated to our management, including our Principal Executive Officer and Principal Financial Officer, as appropriate to allow timely decisions regarding required disclosure. | ||||||
| 2022-01-29 | 2022-03-23 | in the notes | effective | effective | none in Item 9A | EDGAR |
Item 3 · Legal Proceedings : From time to time, claims are asserted against the Company arising out of operations in the ordinary course of business. The Company currently is not a party to any pending litigation that it believes is likely to have a material adverse effect on the Company’s financial position, results of operations or cash flows. See Note 15, “Commitments and Contingencies,” for more information. Item 3A. Executive Officers of the Registrant: The executive officers of the Company and their ages as of March 23, 2022 are as follows: Name Age Position John P. D. Cato............................ Chairman, President and Chief Executive Officer Charles D. Knight........................ Executive Vice President, Chief Financial Officer John R. Howe .............................. Executive Vice President Gordon Smith .............................. Executive Vice President, Chief Real Estate and Store Development Officer John P. D. Cato has been employed as an officer of the Company since and has been a director of the Company since 1986. Since January 2004, he has served as Chairman, President and Chief Executive Officer. From May 1999 to January 2004, he served as President, Vice C… Item 9A · ICFR · Based on this evaluation, management concluded that our internal control over financial reporting was effective as of January 29, 2022. Item 9A · disclosure controls · Based on this evaluation, our Principal Executive Officer and Principal Financial Officer concluded that, as of January 29, 2022, our disclosure controls and procedures, as defined in Rule 13a-15(e), under the Securities Exchange Act of 1934 (the “Exchange Act”), were effective to ensure that information we are required to disclose in the reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms and that such information is accumulated and communicated to our management, including our Principal Executive Officer and Principal Financial Officer, as appropriate to allow timely decisions regarding required disclosure. | ||||||
5 of 5 annual reports on record have their filing text cached on this host; the rest are listed with their EDGAR link and no extraction, because this surface never fetches from SEC on a page load.
- Item 3 and Item 9A are located in the filing HTML already cached on this host and read with the same line-anchored item matcher and largest-gap body disambiguation the filing-narrative pass uses for Item 1A and Item 7 — no fetch, no model, no summarization.
- A heading is accepted as a section only when it is not a table-of-contents row (a trailing page number), not a quoted reference in prose, and names its own section; the span must then clear a per-item length band and carry readable text after the heading. Anything that fails a gate is served as 'not extracted' with the reason — never as a default value.
- An effectiveness conclusion is read only from a sentence that names its own control set (disclosure controls and procedures, or internal control over financial reporting) and states an outcome. Conditional sentences — the standard limitations paragraph and forward-looking remediation language — are excluded, because they are hypotheses rather than conclusions.
- When a filing's own sentences disagree — an effective conclusion beside an unremediated material-weakness disclosure, or two conclusions of opposite sign — no verdict is asserted. A wrong 'controls were effective' reading is worse than no reading.
- Every verdict is shown beside the verbatim sentence it was read from. The excerpt is the filing's own words, capped at 1,200 characters; the filing itself is one link away.