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KROGER CO — Director's Dealing 2013
Jul 16, 2013
30047_dirs_2013-07-16_035f8fa4-5bf3-47c1-8411-5d7a525ce20f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: KROGER CO (KR)
CIK: 0000056873
Period of Report: 2013-07-12
Reporting Person: VAN OFLEN MARY ELIZABETH (Vice President & Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-12 | Common Stock | F | 194 | $37.63 | Disposed | 26518.6873 | Direct |
| 2013-07-15 | Common Stock | A | 3000 | $0.00 | Acquired | 29518.6873 | Direct |
| 2013-07-15 | Common Stock | M | 6000 | $16.385 | Acquired | 35518.6873 | Direct |
| 2013-07-15 | Common Stock | S | 5900 | $37.89 | Disposed | 29618.6873 | Direct |
| 2013-07-15 | Common Stock | S | 100 | $37.895 | Disposed | 29518.6873 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-07-15 | Non-Qualified Stock Option | $16.385 | M | 6000 | Disposed | 2015-05-05 | Common Stock (6000) | Direct |
| 2013-07-15 | Non-Qualified Stock Option | $37.76 | A | 8000 | Acquired | 2023-07-15 | Common Stock (8000) | Direct |
Footnotes
F1: Payment of tax liability associated with restricted stock.
F2: Restricted 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 five-year period, at the rate of 20% per year commencing one year from the date of the award.
F3: 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.
F4: These options were granted under a long-term incentive plan of The Kroger Co. and vest in equal annual installments in whole amounts over a five-year period, at the rate of 20% per year commencing one year from the date of the grant.