SEC Form 4 · accession 0001127602-15-032539
PUBLIX SUPER MARKETS INC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David E Bornmann
Officer — Vice President
Period of report
Nov 23, 2015
Accepted (ET)
Nov 24, 2015 · 9:27 pm EST
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 | Nov 23, 2015 | P | 120 | $41.80 | A | 907 | I | By Child |
| Common Stock | holding | — | — | — | 81,255 | D | ||
| Common StockF1,F2,F3 | holding | — | — | — | 1,839 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 1,157 | I | By Custodian for Children | |
| Common StockF4,F5 | holding | — | — | — | 51,861 | I | By ESOP | |
| Common Stock | holding | — | — | — | 14,125 | I | By Spouse | |
| Common Stock | holding | — | — | — | 4,687 | I | By Spouse's Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SERP StockF6 | — | holding | — | — | — | — | — | Common Stock | 1,919 | 1,919 | I |
Explanation of responses
- F1Acquired under the Publix Super Markets, Inc. 401(k) SMART Plan. Transaction exempt under rule 16b -3(c).
- F2Acquired under the Publix Super Markets, Inc. 401(k) SMART Plan. Transaction exempt under rule 16b -3(c). The number of shares reported has been adjusted for the 5-for-1 split of Publix Super Markets, Inc. common stock effective July 1, 2006.
- F3Acquired under the Publix Super Markets, Inc. 401(k) SMART Plan. Transaction exempt under rule 16b-3(c).
- F4Acquired under the Publix Super Markets, Inc. Employee Stock Ownership Plan. Transaction exempt under rule 16b-3(c).
- F5Acquired under the Publix Super Markets, Inc. Employee Stock Ownership Plan. Transaction exempt under rule 16b-3(c). The number of shares reported has been adjusted for the 5-for-1 split of Publix Super Markets, Inc. common stock effective July 1, 2006.
- F6Each 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.