SEC Form 4 · accession 0001209191-16-099172
KROGER CO · KR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Joseph Donnelly
Officer — Executive Vice President
Period of report
Feb 16, 2016
Accepted (ET)
Feb 17, 2016 · 3:57 pm EST
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 Stock | Feb 16, 2016 | M | 8,453 | $14.135 | A | 220,503 | D | |
| Common StockF1 | Feb 16, 2016 | S | 8,253 | $39.00 | D | 212,250 | D | |
| Common StockF1 | Feb 16, 2016 | S | 100 | $39.005 | D | 212,150 | D | |
| Common StockF1,F2 | Feb 16, 2016 | S | 100 | $39.01 | D | 212,050 | 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 OptionF3 | $14.135 | Feb 16, 2016 | M | 8,453 | D | — | Jun 28, 2017 | Common Stock | 8,453 | 21,547 | D |
Explanation of responses
- F1This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 16, 2015.
- F2The total amount of securities directly owned by the reporting person includes shares in the Company's employee benefit plans that are deemed to be 'tax-conditioned plans' pursuant to Rule 16b-3, to the extent disclosed on reports received from plan trustees.
- F3These 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.