SEC Form 5 · accession 0001209191-18-011176
KROGER CO · KR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Clark
Officer — Senior Vice President
Period of report
Feb 3, 2018
Accepted (ET)
Feb 20, 2018 · 1:30 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 StockF1 | Dec 1, 2017 | G | 2,340 | $0.00 | D | 117,440 | 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 OptionF2 | $11.17 | holding | — | — | — | — | Jun 25, 2019 | Common Stock | 14,500 | 14,500 | D |
| Non-Qualified Stock OptionF2 | $10.08 | holding | — | — | — | — | Jun 24, 2020 | Common Stock | 14,500 | 14,500 | D |
| Non-Qualified Stock OptionF2 | $10.08 | holding | — | — | — | — | Jun 24, 2020 | Common Stock | 7,000 | 7,000 | D |
| Non-Qualified Stock OptionF2 | $10.94 | holding | — | — | — | — | Sep 16, 2020 | Common Stock | 7,000 | 7,000 | D |
| Non-Qualified Stock OptionF2 | $12.37 | holding | — | — | — | — | Jun 23, 2021 | Common Stock | 14,500 | 14,500 | D |
| Non-Qualified Stock OptionF2 | $12.37 | holding | — | — | — | — | Jun 23, 2021 | Common Stock | 8,000 | 8,000 | D |
| Non-Qualified Stock OptionF2 | $11.76 | holding | — | — | — | — | Dec 8, 2021 | Common Stock | 10,000 | 10,000 | D |
| Non-Qualified Stock OptionF2 | $10.98 | holding | — | — | — | — | Jul 12, 2022 | Common Stock | 16,000 | 16,000 | D |
| Non-Qualified Stock OptionF3 | $15.75 | holding | — | — | — | — | Mar 14, 2023 | Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock OptionF2 | $15.75 | holding | — | — | — | — | Mar 14, 2023 | Common Stock | 5,000 | 5,000 | D |
| Non-Qualified Stock OptionF2 | $18.88 | holding | — | — | — | — | Jul 15, 2023 | Common Stock | 30,000 | 30,000 | D |
| Non-Qualified Stock OptionF2 | $24.665 | holding | — | — | — | — | Jul 15, 2024 | Common Stock | 30,000 | 30,000 | D |
| Non-Qualified Stock OptionF2 | $38.33 | holding | — | — | — | — | Jul 15, 2025 | Common Stock | 29,970 | 29,970 | D |
| Non-Qualified Stock OptionF2 | $37.48 | holding | — | — | — | — | Jul 13, 2026 | Common Stock | 57,030 | 57,030 | D |
| Non-Qualified Stock OptionF2 | $22.92 | holding | — | — | — | — | Jul 13, 2027 | Common Stock | 105,074 | 105,074 | D |
Explanation of responses
- F1The 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.
- F2These options were granted under a long-term incentive plan of The Kroger Co. and vest in equal annual installments over a five-year period, at the rate of 20% per year commencing one year from the date of the grant.
- F3These options were granted under an option plan of The Kroger Co. and vest in equal annual installments in whole share amounts over a three-year period, at the rate of one-third per year commencing one year after the date of grant, with the remainder vesting three years from the date of grant.