SEC Form 4 · accession 0001127602-15-025312
PUBLIX SUPER MARKETS INC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P Phillips
Officer — Chief Financial Officer
Period of report
Aug 18, 2015
Accepted (ET)
Aug 19, 2015 · 12:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000081061
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 20, 2015 | J | 40,729 | $39.05 | D | 177,946 | I | By GRAT |
| Common Stock | Apr 20, 2015 | J | 40,729 | $39.05 | A | 66,229 | D | |
| Common Stock | Apr 20, 2015 | J | 49,257 | $39.05 | D | 128,689 | I | By GRAT |
| Common Stock | Apr 20, 2015 | J | 49,257 | $39.05 | A | 49,257 | I | By Spouse as Trustee for Irrevocable Trusts |
| Common Stock | Apr 20, 2015 | W | 23,332 | $39.05 | A | 72,589 | I | By Spouse as Trustee for Irrevocable Trusts |
| Common Stock | Jul 9, 2015 | J | 39,858 | $42.10 | D | 88,831 | I | By GRAT |
| Common Stock | Jul 9, 2015 | J | 39,858 | $42.10 | A | 106,087 | D | |
| Common Stock | Aug 18, 2015 | P | 10,000 | $42.00 | A | 116,087 | D | |
| Common StockF1 | Aug 18, 2015 | J | 7,000 | $42.00 | D | 7,000 | I | By Custodian For Children |
| Common StockF1 | Aug 18, 2015 | J | 7,000 | $42.00 | A | 7,000 | I | By Child |
| Common StockF2 | holding | — | — | — | 1,830 | I | By 401(k) | |
| Common StockF3 | holding | — | — | — | 66,061 | I | By ESOP | |
| Common Stock | holding | — | — | — | 17,025 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SERP StockF4 | — | holding | — | — | — | — | — | Common Stock | 7,428 | 7,428 | I |
Explanation of responses
- F1Represents a transfer of shares to a child under the Uniform Transfers to Minors Act.
- F2Acquired under the Publix Super Markets, Inc. 401(k) SMART Plan. Transaction exempt under rule 16b-3(c).
- F3Acquired under the Publix Super Markets, Inc. Employee Stock Ownership Plan. Transaction exempt under rule 16b-3(c).
- F4Each share of SERP stock is the economic equivalent of one share of common stock. The shares of SERP stock become payable in common stock upon the reporting person's termination of employment in accordance with the Publix Super Markets, Inc. Supplemental Executive Retirement Plan.