Kroger 2012 Annual Report Download - page 44

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42
No director or officer owned Kroger common shares pledged as security.
As of February 15, 2013, the following reported beneficial ownership of Kroger common shares based
on฀reports฀on฀Schedule฀13G฀filed฀with฀the฀Securities฀and฀Exchange฀Commission฀or฀other฀reliable฀information฀
as฀follows:
Name Address of Beneficial Owner
Amount and
Nature of
Ownership
Percentage
of Class
BlackRock,฀Inc. 40 East 52nd Street 30,824,789 5.95%
New฀York,฀NY฀10022
The Kroger Co. Savings Plan 1014 Vine Street 28,433,496(1) 5.5%
Cincinnati, OH 45202
(1)฀ Shares฀beneficially฀owned฀by฀plan฀trustees฀for฀the฀benefit฀of฀participants฀in฀employee฀benefit฀plan.
SE C T I O N 16 ( A) B E N E F I C I A L O W N E R S H I P R E P O R T I N G C O M P L I A N C E
Section฀16(a)฀of฀the฀Securities฀Exchange฀Act฀of฀1934฀requires฀our฀officers฀and฀directors,฀and฀persons฀who฀
own more than 10% of a registered class of our equity securities, to file reports of ownership and changes
in ownership with the Securities and Exchange Commission. Those officers, directors and shareholders are
required฀by฀SEC฀regulation฀to฀furnish฀us฀with฀copies฀of฀all฀Section฀16(a)฀forms฀they฀file.
Based solely on our review of the copies of forms received by Kroger, and any written representations
from certain reporting persons that no Forms 5 were required for those persons, we believe that during fiscal
year 2012 all filing requirements applicable to our officers, directors and 10% beneficial owners were timely
satisfied,฀with฀the฀following฀exception.฀In฀January฀2013,฀Mr.฀Michael฀L.฀Ellis฀filed฀an฀amended฀Form฀3฀to฀report฀
ownership of 750 additional shares that were inadvertently omitted from his original Form 3 and subsequent
Form 4 filing.
RE L A T E D P E R S O N T R A N S A C T I O N S
Pursuant to our Statement of Policy with Respect to Related Person Transactions and the rules of the
SEC, Kroger has the following related person transactions, which were approved by Kroger’s Audit Committee,
to฀disclose:
•฀ During฀fiscal฀year฀2012,฀Kroger฀made฀purchases฀from฀Staples,฀Inc.,฀totaling฀approximately฀$12.5฀million.฀
This amount represents substantially less than 2% of Staples’ annual consolidated gross revenue. Kroger
periodically฀employs฀a฀bidding฀process฀or฀negotiations฀following฀a฀benchmarking฀of฀costs฀of฀products฀
from various vendors for the items purchased from Staples and awards the business based on the results
of that process. Ronald L. Sargent, a member of Kroger’s Board of Directors, is Chairman and Chief
Executive Officer of Staples.
Director independence is discussed above under the heading “Information Concerning the Board of
Directors.”฀Kroger’s฀policy฀on฀related฀person฀transactions฀is฀as฀follows: