Kroger 2014 Annual Report Download - page 53
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(8) This amount includes 38,700 shares underlying options that are or become exercisable on or before
April14,2015.
(9) This amount includes 34,700 shares underlying options that are or become exercisable on or before
April14,2015.
(10) Thisamountincludes 42,500 sharesunderlyingoptions that are or become exercisableonorbefore
April14,2015.
(11) This amount includes 11,700 shares underlying options that are or become exercisable on or before
April14,2015.
(12) This amount includes 18,435 shares held by Mr. Shackouls’ wife. Mr. Shackouls disclaims beneficial
ownership of these shares.
Thefollowingtablesetsforthinformationregardingthebeneficialownersofmorethanfivepercentof
KrogercommonsharesasofFebruary13,2015basedonreportsonSchedule13GfiledwiththeSECorother
reliableinformation.
Name Address of Beneficial Owner
Amount and
Nature of
Ownership
Percentage
of Class
BlackRock,Inc.(1) 55East52ndStreet 38,970,033 7.90%
NewYork,NY10055
FMRLLC(2) 245SummerStreet 26,480,687 5.40%
Boston,MA02210
VanguardGroupInc.(3) 100VanguardBlvd 25,406,163 5.17%
Malvern,PA19355
(1) ReflectsbeneficialownershipbyBlackRockInc.,asofDecember31,2014,asreportedonAmendmentNo.5
totheSchedule13GfiledwiththeSEConJanuary23,2015,andreportssolevotingpowerwithrespectto
33,588,424commonsharesandsoledispositivepowerwithrespectto38,970,033commonshares.
(2) ReflectsbeneficialownershipbyFMRLLC,asofDecember31,2014,asreportedonSchedule13Gfiled
withtheSEConFebruary13,2015,andreportssolevotingpowerwithrespectto2,286,153common
sharesandsoledispositivepowerwithrespectto26,480,687commonshares.
(3) Reflects beneficial ownership by Vanguard Group Inc. as of December 31, 2014, as reported on
Schedule13GfiledwiththeSEConFebruary10,2015,andreportssolevotingpowerwithrespectto
846,345commonshares,soledispositivepowerof24,605,819commonshares,andshareddispositive
powerof800,344commonshares.
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
Section16(a)oftheSecuritiesExchangeActof1934requiresourofficersanddirectors,andpersonswho
ownmorethan10%ofaregisteredclassofourequitysecurities,tofilereportsofownershipandchangesin
ownershipwiththeSEC.Thoseofficers,directorsandshareholdersarerequiredbySECregulationtofurnish
uswithcopiesofallSection16(a)formstheyfile.
Based solely on our review of the copies of Forms 3 and 4 received by Kroger, and any written
representationsfromcertainreportingpersonsthatnoForms5wererequiredforthosepersons,webelieve
thatduringfiscal2014allfilingrequirementsapplicabletoourexecutiveofficers,directorsand10%beneficial
ownersweretimely satisfied, with thefollowingexception.In September 2014, KevinM.Dougherty was
11dayslateinthefilingofaForm4toreportrestrictedstockawardedunderaCompanylong-termincentive
planduetoanadministrativeerrorbytheCompany.