Kroger 2013 Annual Report Download - page 47

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45
BE N E F I C I A L O W N E R S H I P O F C O M M O N S T O C K
The฀following฀table฀sets฀forth฀the฀common฀shares฀beneficially฀owned฀as฀of฀February฀14,฀2014฀by฀Kroger’s฀
directors, the named executive officers, and the directors and executive officers as a group. The percentage
of฀ownership฀is฀based฀on฀512,053,904฀of฀the฀Company฀ common฀ shares฀outstanding฀on฀February฀14,฀2014.฀
Except฀as฀otherwise฀noted,฀each฀beneficial฀owner฀listed฀in฀the฀table฀has฀sole฀voting฀and฀investment฀power฀
with฀regard฀to฀the฀common฀shares฀beneficially฀owned฀by฀such฀owner.฀
Name
Amount and Nature
of
Beneficial Ownership
Reuben฀V.฀Anderson .................................................. 109,490(1)
Kathleen฀S.฀Barclay ................................................... 119,816(2)
Robert฀D.฀Beyer ...................................................... 151,637(1)
David฀B.฀Dillon ...................................................... 2,587,845(2)(3)(4)(5)
Michael฀L.฀Ellis ...................................................... 240,000(2)(3)
Paul฀W.฀Heldman ..................................................... 365,788(2)(3)(6)
Susan฀J.฀Kropf ....................................................... 54,120(7)
David฀B.฀Lewis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70,622(8)
W.฀Rodney฀McMullen ................................................. 1,440,739(2)(3)
Jorge฀P.฀Montoya ..................................................... 44,724(7)
Clyde฀R.฀Moore ...................................................... 88,120(9)
Susan฀M.฀Phillips ..................................................... 85,210(10)
Steven฀R.฀Rogel ...................................................... 98,853(1)
James฀A.฀Runde ...................................................... 62,620(8)
Ronald฀L.฀Sargent .................................................... 61,620(8)
J.฀Michael฀Schlotman ................................................. 290,011(2)(3)(5)
Bobby฀S.฀Shackouls ................................................... 59,120(11)
Directors and Executive Officers as a group (29 persons,
including฀those฀named฀above) ....................................... 7,322,242(2)(3)
No฀director฀or฀officer฀owned฀as฀much฀as฀1%฀of฀the฀common฀shares฀of฀Kroger.฀The฀directors฀and฀executive฀
officers฀as฀a฀group฀beneficially฀owned฀1%฀of฀the฀common฀shares฀of฀Kroger.
(1)฀ This฀amount฀includes฀44,500฀shares฀that฀represent฀options฀that฀are฀or฀become฀exercisable฀on฀or฀before฀
April฀15,฀2014.
(2)฀ This฀amount฀includes฀shares฀that฀represent฀options฀that฀are฀or฀become฀exercisable฀on฀or฀before฀April฀15,฀
2014,฀in฀the฀following฀amounts:฀Ms.฀Barclay,฀59,824;฀Mr.฀Dillon,฀1,476,156;฀Mr.฀Ellis,฀96,200;฀Mr.฀Heldman,฀
140,240;฀Mr.฀McMullen,฀485,064;฀Mr.฀Schlotman,฀120,184;฀and฀all฀directors฀and฀executive฀officers฀as฀a฀
group, 3,343,321.
(3)฀ The฀fractional฀interest฀ resulting฀from฀allocations฀ under฀Kroger’s฀defined฀contribution฀plans฀has฀been฀
rounded฀to฀the฀nearest฀whole฀number.
(4)฀ This฀amount฀includes฀307,392฀shares฀held฀in฀trusts฀by฀Mr.฀Dillon’s฀wife.฀Mr.฀Dillon฀disclaims฀beneficial฀
ownership of these shares.
(5)฀ This฀amount฀includes฀ Kroger฀ common฀shares฀ that฀are฀ pledged฀ as฀security฀in฀the฀ following฀amounts:฀
Mr.฀Dillon,฀206,020฀shares฀pledged฀as฀security฀for฀bank฀loans;฀and฀Mr.฀Schlotman,฀25,000฀shares฀pledged฀
as฀security฀for฀bank฀loans.
(6)฀ This฀amount฀includes฀41,842฀shares฀held฀in฀Mr.฀Heldman’s฀family฀trust.฀Mr.฀Heldman฀disclaims฀beneficial฀
ownership of these shares.
(7)฀ This฀amount฀includes฀24,500฀shares฀that฀represent฀options฀that฀are฀or฀become฀exercisable฀on฀or฀before฀
April฀15,฀2014.