SEC Form 4 · accession 0001209191-15-061437
KROGER CO · KR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin M Dougherty
Officer — Group Vice President
Period of report
Jul 15, 2015
Accepted (ET)
Jul 17, 2015 · 2:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000056873
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 15, 2015 | A | 8,688 | $0.00 | A | 158,054 | D | |
| Common StockF2,F3 | Jul 15, 2015 | F | 2,568 | $38.33 | D | 155,486 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF4 | $38.33 | Jul 15, 2015 | A | 19,980 | A | — | Jul 15, 2025 | Common Stock | 19,980 | 19,980 | D |
Explanation of responses
- F1Restricted stock awarded pursuant to a long-term incentive plan of The Kroger Co. The restrictions on these shares lapse in equal annual installments in whole amounts over a five-year period, at the rate of 20% per year commencing one year from the date of the award.
- F2Payment of tax liability associated with restricted stock.
- F3On July 13, 2015, the common shares of The Kroger Co. split 2-for-1, resulting in the reporting person's ownership of 74,683 additional common shares.
- F4These options were granted under a long-term incentive plan of The Kroger Co. and vest in equal annual installments in whole amounts over a five-year period, at the rate of 20% per year commencing one year from the date of the grant.