SEC Form 5 · accession 0001127602-17-002864

PUBLIX SUPER MARKETS INC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 31, 2016

Accepted (ET)

Jan 30, 2017 · 4:25 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	Mar 14, 2016	G	3,714	$45.20	D	2,013,741	D
Common Stock	Mar 14, 2016	G	309	$45.20	D	5,973,240	I	By Trustee Of Mother's Trust
Common Stock	Mar 14, 2016	G	309	$45.20	A	2,014,050	D
Common Stock	Mar 14, 2016	G	618	$45.20	D	5,972,622	I	By Trustee Of Mother's Trust
Common Stock	Mar 14, 2016	G	618	$45.20	A	17,052	I	By Trustee Of Nephews' Trust
Common Stock	Mar 14, 2016	G	927	$45.20	A	17,361	I	By Trustee Of Nieces' Trust
Common Stock	Mar 14, 2016	G	927	$45.20	D	5,971,695	I	By Trustee Of Mother's Trust
Common Stock	Mar 14, 2016	G	1,677	$45.20	D	5,970,018	I	By Trustee Of Mother's Trust
Common Stock	Apr 14, 2016	G	5,787	$45.20	A	22,839	I	By Trustee Of Nephews' Trust
Common Stock	Apr 14, 2016	G	5,787	$45.20	D	5,964,231	I	By Trustee Of Mother's Trust
Common Stock	May 10, 2016	J	16,882	$43.95	A	2,030,932	D
Common Stock	May 10, 2016	J	16,882	$43.95	D	136,130	I	By GRAT
Common Stock	May 11, 2016	J	2,236,259	$43.95	D	3,727,972	I	By Trustee Of Mother's Trust
Common Stock	May 11, 2016	J	2,236,259	$43.95	A	2,236,259	I	By Trustee of Trust ACU Mother's Trust
Common Stock	Aug 26, 2016	J	119,500	$41.90	A	255,630	I	By GRAT
Common Stock	Aug 26, 2016	J	119,500	$41.90	D	1,911,432	D
Common Stock	Nov 22, 2016	G	4,872	$40.15	D	3,723,100	I	By Trustee Of Mother's Trust
Common Stock^F1	holding	—	—		—	1,892	I	By 401(k)
Common Stock^F2	holding	—	—		—	174,164	I	By ESOP
Common Stock^F3	holding	—	—		—	43,260	I	By Family Limited Partnership
Common Stock	holding	—	—		—	25,000	I	By Spouse
Common Stock	holding	—	—		—	9,640	I	By Spouse As Custodian For Children

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
SERP Stock^F4	—	Mar 1, 2016	A	1,583	A	—	—	Common Stock	1,583	11,072	I

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. Employee Stock Ownership Plan. Transaction exempt under rule 16b-3(c).
F3The reporting person disclaims beneficial ownership of the common stock held by the Limited Partnership except to the extent of his pecuniary interest therein.
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.