-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RtzJr4iOCqbY15f88AglHbM/5ArBzVglF2OshgydQQHGUvnpBhJbn30jD47Ov6jp vbStTIYgI1s0rjd6AdWbKA== 0000926047-04-000003.txt : 20040213 0000926047-04-000003.hdr.sgml : 20040213 20040213101850 ACCESSION NUMBER: 0000926047-04-000003 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PUBLIX SUPER MARKETS INC CENTRAL INDEX KEY: 0000081061 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 590324412 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-38638 FILM NUMBER: 04595267 BUSINESS ADDRESS: STREET 1: PO BOX 407 CITY: LAKELAND STATE: FL ZIP: 33802 BUSINESS PHONE: 8636881188 MAIL ADDRESS: STREET 1: PO BOX 407 CITY: LAKELAND STATE: FL ZIP: 33802 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PUBLIX SUPER MARKETS INC EMPLOYEE STOCK OWNERSHIP PLAN CENTRAL INDEX KEY: 0000926047 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 591673419 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 407 CITY: LAKELAND STATE: FL ZIP: 33802 BUSINESS PHONE: 8636881188 MAIL ADDRESS: STREET 1: PO BOX 407 CITY: LAKELAND STATE: FL ZIP: 33802 SC 13G 1 g13esop2004.txt SCHEDULE 13G, PUBLIX SUPER MARKETS, INC. ESOP UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11) Publix Super Markets, Inc. -------------------------- (Name of Issuer) Common Stock, Par Value $1.00 Per Share --------------------------------------- (Title of Class of Securities) None ------------ (CUSIP Number) December 31, 2003 ----------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) |_| Rule 13d-1(c) |_| Rule 13d-1(d) The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. Page 1 of 4 SCHEDULE 13G CUSIP No. None Page 2 of 4 Pages ---- -- -- 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) Publix Super Markets, Inc. Employee Stock Ownership Plan 59-1673419 2 Check the Appropriate Box if a Member of a Group (a)____ (b)__x_ 3 SEC Use Only 4 Citizenship or Place of Organization Employee Benefit Plan (Florida) Number of Shares 5 Sole Voting Power 0 Beneficially Owned By 6 Shared Voting Power 53,514,499 Each Reporting 7 Sole Dispositive Power 0 Person With: 8 Shared Dispositive Power 53,514,499 9 Aggregate Amount Beneficially Owned by Each Reporting Person 53,514,499 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares ____ Not applicable. 11 Percent of Class Represented by Amount in Row (9) 30.0% 12 Type of Reporting Person EP SCHEDULE 13G CUSIP No. None Page 3 of 4 Pages ---- -- -- Item 1(a). Name of Issuer: Publix Super Markets, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 3300 Airport Road, Lakeland, FL 33811 Item 2(a). Name of Person Filing: Publix Super Markets, Inc. Employee Stock Ownership Plan Item 2(b). Address of Principal Business Office or, if none, Residence: 3300 Airport Road, Lakeland, FL 33811 Item 2(c). Citizenship: Employee Benefit Plan (Florida) Item 2(d). Title of Class of Securities: Common Stock, Par Value $1.00 Per Share Item 2(e). CUSIP Number: None Item 3. This statement is filed pursuant to Rule 13d-1(b). Check whether the person filing is an employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F): |X| Item 4. Ownership - --------------------- Information regarding ownership of common stock of the Company: (a) Amount beneficially owned: 53,514,499 (b) Percent of class: 30.0% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 53,514,499 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 53,514,499 SCHEDULE 13G CUSIP No. None Page 4 of 4 Pages ---- -- -- As of December 31, 2003, the Publix Super Markets, Inc. Employee Stock Ownership Plan ("ESOP") was the beneficial owner, as that term is defined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended, of a total of 53,514,499 shares of the Company's common stock or approximately 30.0% of the total outstanding shares of the Company's common stock. Changes that have occurred in the total number of shares of common stock held by the ESOP since the filing of the tenth amendment to the initial statement are reflected in Schedule 1 attached hereto. All such changes have been in accordance with the terms of the ESOP. Item 5. Ownership of Five Percent or Less of a Class - ----------------------------------------------------- Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person - ------------------------------------------------------------------------ Dividends paid on the Company's common stock and attributable to shares allocated to ESOP participants' accounts may be distributed to such participants as directed by Publix Super Markets, Inc. in accordance with the terms of the Publix Super Markets, Inc. Employee Stock Ownership Trust. Item 7. Identification and Classification of the Subsidiary Which Acquired - --------------------------------------------------------------------------- the Security Being Reported on By the Parent Holding Company or --------------------------------------------------------------- Control Person -------------- Not applicable. Item 8. Identification and Classification of Members of the Group - ------------------------------------------------------------------ Not applicable. Item 9. Notice of Dissolution of Group - --------------------------------------- Not applicable. Item 10. Certification - ---------------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 13, 2004 /s/ Hoyt R. Barnett ----------------------------- Hoyt R. Barnett, Trustee Publix Super Markets, Inc. Employee Stock Ownership Plan SCHEDULE 1 SHARES HELD BY PUBLIX SUPER MARKETS, INC. EMPLOYEE STOCK OWNERSHIP PLAN Shares Shares Date Acquired Disposed of Balance Description of Transaction ---- -------- ----------- ---------- -------------------------- Beginning Balance 53,621,261 Jan-03 326,922 53,294,339 Distributions to participants Feb-03 629,477 52,664,862 Distributions to participants Mar-03 1,511 52,666,373 Special company contribution Mar-03 4,860,232 57,526,605 Company contribution - Publix Super Markets, Inc. Mar-03 37,121 57,563,726 Company contribution - Publix Alabama, LLC; PublixDirect, LLC; Publix Asset Management Company Mar-03 825,708 56,738,018 Distributions to participants May-03 460,919 56,277,099 Distributions to participants Jun-03 926,626 55,350,473 Distributions to participants Aug-03 524,976 54,825,497 Distributions to participants Sep-03 781,484 54,044,013 Distributions to participants Nov-03 316,145 53,727,868 Distributions to participants Dec-03 284,348 53,443,520 Distributions to participants Dec-03 70,979 53,514,499 Purchase --------- --------- 4,969,843 5,076,605 ========= ========= -----END PRIVACY-ENHANCED MESSAGE-----