0001209191-12-001041.txt : 20120104 0001209191-12-001041.hdr.sgml : 20120104 20120104153229 ACCESSION NUMBER: 0001209191-12-001041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120103 FILED AS OF DATE: 20120104 DATE AS OF CHANGE: 20120104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KROGER CO CENTRAL INDEX KEY: 0000056873 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 310345740 STATE OF INCORPORATION: OH FISCAL YEAR END: 0203 BUSINESS ADDRESS: STREET 1: 1014 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45201 BUSINESS PHONE: 5137624000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DONNELLY MICHAEL JOSEPH CENTRAL INDEX KEY: 0001186592 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00303 FILM NUMBER: 12505874 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2012-01-03 0 0000056873 KROGER CO KR 0001186592 DONNELLY MICHAEL JOSEPH THE KROGER CO. 1014 VINE STREET CINCINNATI OH 45202 0 1 0 0 Senior Vice President Common Stock 2012-01-03 4 M 0 30000 22.995 A 83939.5106 D Common Stock 2012-01-03 4 M 0 10223 14.925 A 94162.5106 D Common Stock 2012-01-03 4 S 0 30223 24.50 D 63939.5106 D Common Stock 2012-01-03 4 S 0 100 24.40 D 63839.5106 D Common Stock 2012-01-03 4 S 0 972 24.42 D 62867.5106 D Common Stock 2012-01-03 4 S 0 1028 24.43 D 61839.5106 D Common Stock 2012-01-03 4 S 0 5700 24.44 D 56139.5106 D Common Stock 2012-01-03 4 S 0 800 24.45 D 55339.5106 D Common Stock 2012-01-03 4 S 0 400 24.455 D 54939.5106 D Common Stock 2012-01-03 4 S 0 800 24.46 D 54139.5106 D Common Stock 2012-01-03 4 S 0 200 24.47 D 53939.5106 D Non-Qualified Performance Stock Option 22.995 2012-01-03 4 M 0 10000 0.00 D 2012-05-09 Common Stock 10000 0 D Non-Qualified Stock Option 22.995 2012-01-03 4 M 0 20000 0.00 D 2012-05-09 Common Stock 20000 0 D Non-Qualified Stock Option 14.925 2012-01-03 4 M 0 10223 0.00 D 2012-12-12 Common Stock 10223 40891 D This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2011. The total amount of securities directly owned by the reporting person includes shares in the Company's employee benefit plans that are deemed to be 'tax-conditioned plans' pursuant to Rule 16b-3, to the extent disclosed on reports received from plan trustees. These options will vest during the first four years from the date of the grant only if the Company's stock price has achieved a 55% appreciation from the option price. Thereafter, the options vest only if the Company's stock price has achieved a minimum 13% appreciation per annum from the date of grant or 185% appreciation, whichever is less. The options vest nine years and six months after grant, if not sooner vested. These options were granted under a long-term incentive plan of The Kroger Co. and vest in equal annual installments in whole amounts over a five-year period, at the rate of 20% per year commencing one year from the date of the grant. /s/ Michael J. Donnelly, by Bruce M. Gack, Attorney-in-Fact 2012-01-04