Kroger 2013 Annual Report Download - page 48

Download and view the complete annual report

Please find page 48 of the 2013 Kroger annual report below. You can navigate through the pages in the report by either clicking on the pages listed below, or by using the keyword search tool below to find specific information within the annual report.

Page out of 152

  • 1
  • 2
  • 3
  • 4
  • 5
  • 6
  • 7
  • 8
  • 9
  • 10
  • 11
  • 12
  • 13
  • 14
  • 15
  • 16
  • 17
  • 18
  • 19
  • 20
  • 21
  • 22
  • 23
  • 24
  • 25
  • 26
  • 27
  • 28
  • 29
  • 30
  • 31
  • 32
  • 33
  • 34
  • 35
  • 36
  • 37
  • 38
  • 39
  • 40
  • 41
  • 42
  • 43
  • 44
  • 45
  • 46
  • 47
  • 48
  • 49
  • 50
  • 51
  • 52
  • 53
  • 54
  • 55
  • 56
  • 57
  • 58
  • 59
  • 60
  • 61
  • 62
  • 63
  • 64
  • 65
  • 66
  • 67
  • 68
  • 69
  • 70
  • 71
  • 72
  • 73
  • 74
  • 75
  • 76
  • 77
  • 78
  • 79
  • 80
  • 81
  • 82
  • 83
  • 84
  • 85
  • 86
  • 87
  • 88
  • 89
  • 90
  • 91
  • 92
  • 93
  • 94
  • 95
  • 96
  • 97
  • 98
  • 99
  • 100
  • 101
  • 102
  • 103
  • 104
  • 105
  • 106
  • 107
  • 108
  • 109
  • 110
  • 111
  • 112
  • 113
  • 114
  • 115
  • 116
  • 117
  • 118
  • 119
  • 120
  • 121
  • 122
  • 123
  • 124
  • 125
  • 126
  • 127
  • 128
  • 129
  • 130
  • 131
  • 132
  • 133
  • 134
  • 135
  • 136
  • 137
  • 138
  • 139
  • 140
  • 141
  • 142
  • 143
  • 144
  • 145
  • 146
  • 147
  • 148
  • 149
  • 150
  • 151
  • 152

46
(8)฀ This฀amount฀includes฀29,500฀shares฀that฀represent฀options฀that฀are฀or฀become฀exercisable฀on฀or฀before฀
April฀15,฀2014.
(9)฀ This฀amount฀includes฀34,500฀shares฀that฀represent฀options฀that฀are฀or฀become฀exercisable฀on฀or฀before฀
April฀15,฀2014.
(10)฀ This฀amount฀includes฀33,500฀shares฀that฀represent฀options฀that฀are฀or฀become฀exercisable฀on฀or฀before฀
April฀15,฀2014.
(11)฀ This฀amount฀includes฀19,500฀shares฀that฀represent฀options฀that฀are฀or฀become฀exercisable฀on฀or฀before฀
April฀15,฀2014.
As฀of฀February฀14,฀2014,฀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.฀(1) 40฀East฀52nd฀Street 38,359,173 7.40%
New฀York,฀NY฀10022
FMR฀LLC฀(2) 245฀Summer฀Street
Boston,฀MA฀02210
37,604,848 7.28%
The฀Kroger฀Co.฀Savings฀Plan 1014฀Vine฀Street 26,231,418(3) 5.12%
Cincinnati,฀OH฀45202
(1)฀฀ Reflects฀beneficial฀ownership฀by฀BlackRock฀Inc.,฀as฀of฀December฀31,฀2013,฀as฀reported฀on฀Amendment฀No.฀
4฀to฀the฀Schedule฀13G฀filed฀with฀the฀SEC฀on฀January฀29,฀2014,฀and฀reports฀sole฀voting฀power฀with฀respect฀
to฀31,511,599฀common฀shares฀and฀sole฀dispositive฀power฀with฀respect฀to฀38,359,173฀common฀shares.
(2)฀฀ Reflects฀ beneficial฀ ownership฀ by฀ FMR฀ LLC,฀ as฀ of฀ December฀ 31,฀ 2013,฀ as฀ reported฀ on฀ Schedule฀ 13G฀
filed฀with฀the฀SEC฀on฀February฀14,฀2014฀(the฀“FMR฀13G”),฀and฀reports฀sole฀voting฀power฀with฀respect฀
to฀ 1,337,580฀ common฀ shares฀ and฀ sole฀ dispositive฀ power฀ with฀ respect฀ to฀ 37,604,848฀ common฀ shares.฀
The฀ FMR฀ 13G฀ reports฀ beneficial฀ ownership฀ of฀ common฀ shares฀ by฀ Fidelity฀ Management฀ &฀ Research฀
Company,฀Edward฀C.฀Johnson฀3d,฀FMR฀LLC,฀Fidelity฀SelectCo,฀LLC,฀SelectCo฀Funds,฀Fidelity฀Management฀
Trust฀Company,฀Strategic฀Advisors,฀Inc.,฀Pyramis฀Global฀Advisors,฀LLC,฀Pyramis฀Global฀Advisors฀Trust฀
Company and FIL Limited. The voting and investment power of the various holders with respect to these
common฀shares฀is฀set฀forth฀in฀the฀FMR฀13G.
(3)฀ Shares฀beneficially฀owned฀by฀plan฀trustees฀for฀the฀benefit฀of฀participants฀in฀employee฀benefit฀plan.
SE C T I O N 1 6 (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฀ 3฀ and฀ 4฀ 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฀2013฀all฀filing฀requirements฀applicable฀to฀our฀officers,฀directors฀ and฀10%฀beneficial฀
owners฀were฀timely฀satisfied,฀with฀the฀following฀exceptions.฀In฀March฀2013,฀Kathleen฀S.฀Barclay,฀Robert฀W.฀
Clark,฀Geoffrey฀J.฀Covert,฀David฀B.฀Dillon,฀Michael฀J.฀Donnelly,฀Kevin฀M.฀Dougherty,฀Michael฀L.฀Ellis,฀Paul฀W.฀
Heldman,฀Scott฀M.฀Henderson,฀Christopher฀T.฀Hjelm,฀Calvin฀J.฀Kaufman,฀Lynn฀Marmer,฀W.฀Rodney฀McMullen,฀
M.฀Marnette฀Perry,฀J.฀Michael฀Schlotman,฀Mary฀Elizabeth฀Van฀Oflen,฀and฀R.฀Pete฀Williams฀were฀2฀days฀late฀