AI assistant
KROGER CO — Director's Dealing 2017
Mar 3, 2017
30047_dirs_2017-03-03_1da078ea-805e-43dc-8209-376ff364f315.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: KROGER CO (KR)
CIK: 0000056873
Period of Report: 2017-01-28
Reporting Person: Clark Robert W (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-27 | Common Stock | G | 430 | $0.00 | Disposed | 115528.781 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option | $14.305 | 2018-06-26 | Common Stock (11000) | 11000 | Direct |
| Non-Qualified Stock Option | $11.17 | 2019-06-25 | Common Stock (14500) | 14500 | Direct |
| Non-Qualified Stock Option | $10.08 | 2020-06-24 | Common Stock (14500) | 14500 | Direct |
| Non-Qualified Stock Option | $10.08 | 2020-06-24 | Common Stock (7000) | 7000 | Direct |
| Non-Qualified Stock Option | $10.94 | 2020-09-16 | Common Stock (7000) | 7000 | Direct |
| Non-Qualified Stock Option | $12.37 | 2021-06-23 | Common Stock (14500) | 14500 | Direct |
| Non-Qualified Stock Option | $12.37 | 2021-06-23 | Common Stock (8000) | 8000 | Direct |
| Non-Qualified Stock Option | $11.76 | 2021-12-08 | Common Stock (10000) | 10000 | Direct |
| Non-Qualified Stock Option | $10.98 | 2022-07-12 | Common Stock (16000) | 16000 | Direct |
| Non-Qualified Stock Option | $15.75 | 2023-03-14 | Common Stock (20000) | 20000 | Direct |
| Non-Qualified Stock Option | $15.75 | 2023-03-14 | Common Stock (5000) | 5000 | Direct |
| Non-Qualified Stock Option | $18.88 | 2023-07-15 | Common Stock (30000) | 30000 | Direct |
| Non-Qualified Stock Option | $24.665 | 2024-07-15 | Common Stock (30000) | 30000 | Direct |
| Non-Qualified Stock Option | $38.33 | 2025-07-15 | Common Stock (29970) | 29970 | Direct |
| Non-Qualified Stock Option | $37.48 | 2026-07-13 | Common Stock (57030) | 57030 | Direct |
Footnotes
F1: Between September 30, 2016 and December 31, 2016, the reporting person acquired 118.8295 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.
F2: 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.
F3: These options were granted under an option plan of The Kroger Co. and vest in equal annual installments in whole share amounts over a three-year period, at the rate of one-third per year commencing one year after the date of grant, with the remainder vesting three years from the date of grant.