SEC Form 4 · accession 0001209191-18-020504
KROGER CO · KR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen M McKinney
Officer — Senior Vice President
Period of report
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 12:30 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 | Mar 15, 2018 | A | 9,522 | $0.00 | A | 140,308 | D | |
| Common Stock | Mar 15, 2018 | A | 2,362 | $0.00 | A | 142,670 | D | |
| Common StockF2,F3 | Mar 15, 2018 | F | 1,186 | $23.63 | D | 141,484 | 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 | $23.63 | Mar 15, 2018 | A | 21,232 | A | — | Mar 15, 2028 | Common Stock | 21,232 | 21,232 | 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 four-year period, at the rate of 25% per year commencing one year from the date of the award.
- F2Payment of tax liability associated with share award.
- F3The 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.
- F4These options were granted under a long-term incentive plan of The Kroger Co. and vest in equal annual installments over a four-year period, at the rate of 25% per year commencing one year from the date of the grant.