Harris Teeter 2012 Annual Report Download - page 71

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PRINCIPAL SHAREHOLDERS
The following table sets forth information concerning the “beneficial ownership” of Common Stock by those
persons known to the Company to be the beneficial owners of more than five percent of the Common Stock. The
information below is provided as of October 31, 2012, and the information for Neuberger Berman Group LLC and
BlackRock, Inc. is based solely on the latest Schedule 13G reports each entity had filed with the Securities and
Exchange Commission as of such date. The nature of beneficial ownership of the shares included is presented in
the notes following the table.
Name and Address of Beneficial Owner
Number of Shares
Beneficially Owned (1)
Percent
of Class
T. Rowe Price Trust Company (2)
Trustee of the Harris Teeter Supermarkets, Inc.
Retirement and Savings Plan
Post Office Box 89000
Baltimore, Maryland 21289 ................................ 3,128,938 6.35%
Neuberger Berman Group LLC (3)
605 Third Avenue
New York, NY 10158 ..................................... 5,965,226 12.10%
BlackRock, Inc. (4)
40 East 52nd Street
New York, NY 10022 ..................................... 3,313,979 6.72%
(1) “Beneficial Ownership” for purposes of the table, is determined according to the meaning of applicable
securities regulations and based on a review of reports filed with the Securities and Exchange Commission
pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
(2) T. Rowe Price Trust Company, in its capacity as directed trustee, votes Common Stock held by the Harris Teeter
Supermarkets, Inc. Retirement and Savings Plan (the “Retirement and Savings Plan”) that have been allocated
to individual accounts in accordance with the participants’ instructions and does not vote allocated Common
Stock as to which no instructions are received. Fiduciary Counselors Inc. (“Fiduciary Counselors”) was
engaged as an independent fiduciary with respect to the Common Stock held by the Retirement and Savings
Plan in order to, among other things, monitor the Company’s financial condition to determine, in Fiduciary
Counselors’ sole discretion, whether holding Common Stock by the Retirement and Savings Plan is no longer
consistent with the Employee Retirement Income Security Act of 1974, as amended, and if it were to become
no longer consistent, to determine when and in what manner to liquidate the shares. As such, Fiduciary
Counselors filed a Schedule 13G/A with the Securities and Exchange Commission on February 14, 2012
claiming shared dispositive power over the shares held by the Retirement and Savings Plan.
(3) Neuberger Berman Group LLC (“NBG”) reported in its Schedule 13G/Afiled with the Securities and Exchange
Commission on February 14, 2012 that it had beneficial ownership of 5,965,226 shares, together with its
affiliates Neuberger Berman LLC, Neuberger Berman Management LLC and Neuberger Berman Equity Funds.
Neuberger Berman Group LLC had shared power to vote over 5,354,226 shares and shared power to dispose
over 5,965,226 shares. Neuberger Berman LLC, a subsidiary of NBG, had shared power to vote over 5,354,226
shares and shared power to dispose over 5,965,226 shares. Neuberger Berman Management LLC, a subsidiary
of NBG, had shared power to vote and shared power to dispose over 5,260,267 shares. Neuberger Berman
Equity Funds had shared power to vote and shared power to dispose over 4,774,967 shares.
(4) BlackRock, Inc. (“BlackRock”) reported in its Schedule 13G/A filed with the Securities and Exchange
Commission on February 13, 2012, that it had sole power to vote and sole power to dispose over 3,313,979 shares.
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