Kroger 2014 Annual Report Download - page 53

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51
(8)฀ This฀ amount฀ includes฀ 38,700฀ shares฀ underlying฀ options฀ that฀ are฀ or฀ become฀ exercisable฀ on฀ or฀ before฀
April฀14,฀2015.
(9)฀ This฀ amount฀ includes฀ 34,700฀ shares฀ underlying฀ options฀ that฀ are฀ or฀ become฀ exercisable฀ on฀ or฀ before฀
April฀14,฀2015.
(10)฀ This฀amount฀includes฀ 42,500฀ shares฀underlying฀options฀ that฀ are฀ or฀ become฀ exercisable฀on฀or฀before฀
April฀14,฀2015.
(11)฀ This฀ amount฀ includes฀ 11,700฀ shares฀ underlying฀ options฀ that฀ are฀ or฀ become฀ exercisable฀ on฀ or฀ before฀
April฀14,฀2015.
(12)฀ This฀ amount฀ includes฀ 18,435฀ shares฀ held฀ by฀ Mr.฀ Shackouls’฀ wife.฀ Mr.฀ Shackouls฀ disclaims฀ beneficial฀
ownership of these shares.
The฀following฀table฀sets฀forth฀information฀regarding฀the฀beneficial฀owners฀of฀more฀than฀five฀percent฀of฀
Kroger฀common฀shares฀as฀of฀February฀13,฀2015฀based฀on฀reports฀on฀Schedule฀13G฀filed฀with฀the฀SEC฀or฀other฀
reliable฀information.
Name Address of Beneficial Owner
Amount and
Nature of
Ownership
Percentage
of Class
BlackRock,฀Inc.฀(1) 55฀East฀52nd฀Street 38,970,033 7.90%
New฀York,฀NY฀10055
FMR฀LLC฀(2) 245฀Summer฀Street 26,480,687 5.40%
Boston,฀MA฀02210
Vanguard฀Group฀Inc.฀(3) 100฀Vanguard฀Blvd 25,406,163 5.17%
Malvern,฀PA฀19355
(1)฀ Reflects฀beneficial฀ownership฀by฀BlackRock฀Inc.,฀as฀of฀December฀31,฀2014,฀as฀reported฀on฀Amendment฀No.฀5฀
to฀the฀Schedule฀13G฀filed฀with฀the฀SEC฀on฀January฀23,฀2015,฀and฀reports฀sole฀voting฀power฀with฀respect฀to฀
33,588,424฀common฀shares฀and฀sole฀dispositive฀power฀with฀respect฀to฀38,970,033฀common฀shares.
(2)฀ Reflects฀beneficial฀ownership฀by฀FMR฀LLC,฀as฀of฀December฀31,฀2014,฀as฀reported฀on฀Schedule฀13G฀filed฀
with฀the฀SEC฀on฀February฀13,฀2015,฀and฀reports฀sole฀voting฀power฀with฀respect฀to฀2,286,153฀common฀
shares฀and฀sole฀dispositive฀power฀with฀respect฀to฀26,480,687฀common฀shares.
(3)฀ Reflects฀ beneficial฀ ownership฀ by฀ Vanguard฀ Group฀ Inc.฀ as฀ of฀ December฀ 31,฀ 2014,฀ as฀ reported฀ on฀
Schedule฀13G฀filed฀with฀the฀SEC฀on฀February฀10,฀2015,฀and฀reports฀sole฀voting฀power฀with฀respect฀to฀
846,345฀common฀shares,฀sole฀dispositive฀power฀of฀24,605,819฀common฀shares,฀and฀shared฀dispositive฀
power฀of฀800,344฀common฀shares.
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฀SEC.฀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฀2014฀all฀filing฀requirements฀applicable฀to฀our฀executive฀officers,฀directors฀and฀10%฀beneficial฀
owners฀were฀timely฀ satisfied,฀ with฀ the฀following฀exception.฀In฀ September฀ 2014,฀ Kevin฀M.฀Dougherty฀ was฀
11฀days฀late฀in฀the฀filing฀of฀a฀Form฀4฀to฀report฀restricted฀stock฀awarded฀under฀a฀Company฀long-term฀incentive฀
plan฀due฀to฀an฀administrative฀error฀by฀the฀Company.