SEC Form 4 · accession 0001209191-18-041463
KROGER CO · KR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carin L Fike
Officer — Vice President and Treasurer
Period of report
Jul 3, 2018
Accepted (ET)
Jul 5, 2018 · 2:15 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 Stock | Jul 3, 2018 | M | 4,000 | $11.17 | A | 29,361 | D | |
| Common StockF1 | Jul 3, 2018 | S | 4,000 | $28.764 | D | 25,361 | D | |
| Common Stock | holding | — | — | — | 3,986 | I | by Spouse |
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 | Jul 3, 2018 | M | 4,000 | D | — | Jun 25, 2019 | Common Stock | 4,000 | 0 | D |
Explanation of responses
- F1Between October 1, 2017 and June 30, 2018, the reporting person acquired 40.3458 shares of Kroger common stock in the Company's employee benefit plans, based on information from plan trustees. The 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 vested 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.