-----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, Lx59z38o+pWbzvVrqdZ3KJD5n051BV6iTFXTG+VQGVIx/Q21DtUHv4Trh09Q8AFX bqrUfbjewG1/cCLOMJge1w== 0001351715-07-000004.txt : 20070213 0001351715-07-000004.hdr.sgml : 20070213 20070213162216 ACCESSION NUMBER: 0001351715-07-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070213 DATE AS OF CHANGE: 20070213 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: 07610506 BUSINESS ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 BUSINESS PHONE: 863-688-1188 MAIL ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Publix Super Markets, Inc. 401(k) SMART Plan CENTRAL INDEX KEY: 0001351715 IRS NUMBER: 135581829 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 BUSINESS PHONE: 863-688-1188 MAIL ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 SC 13G 1 g13401k2007.txt SC 13G, SCHEDULE 13G, PSM, INC., 401(K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* 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, 2006 ------------------------------------------------------- (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 remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. 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 5 SCHEDULE 13G CUSIP No. None Page 2 of 5 Pages ---------- -- -- 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) Publix Super Markets, Inc. 401(k) SMART Plan 2 Check the Appropriate Box if a Member of a Group (a) |_| (b) |X| 3 SEC Use Only 4 Citizenship or Place of Organization Florida Number of Shares 5 Sole Voting Power 47,229,609 Beneficially Owned By 6 Shared Voting Power 0 Each Reporting 7 Sole Dispositive Power 0 Person With: 8 Shared Dispositive Power 47,229,609 9 Aggregate Amount Beneficially Owned by Each Reporting Person 47,229,609 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares |_| Not applicable. 11 Percent of Class Represented by Amount in Row (9) 5.6% 12 Type of Reporting Person EP SCHEDULE 13G CUSIP No. None Page 3 of 5 Pages ---------- -- -- Item 1(a). Name of Issuer: Publix Super Markets, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 3300 Publix Corporate Parkway, Lakeland, FL 33811 Item 2(a). Name of Person Filing: Publix Super Markets, Inc. 401(k) SMART Plan Item 2(b). Address of Principal Business Office or, if none, Residence: 3300 Publix Corporate Parkway, Lakeland, FL 33811 Item 2(c). Citizenship: 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. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: f. |X| An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). Item 4. Ownership - --------------------- Information regarding ownership of common stock of the issuer: (a) Amount beneficially owned: 47,229,609 (b) Percent of class: 5.6% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 47,229,609 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 47,229,609 SCHEDULE 13G CUSIP No. None Page 4 of 5 Pages ---------- -- -- As of December 31, 2006, the Publix Super Markets, Inc. 401(k) SMART Plan ("SMART Plan") 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 47,229,609 shares of the Company's common stock or approximately 5.6% of the total outstanding shares of the Company's common stock. On April 18, 2006, the Company's stockholders approved an increase in the number of authorized shares of common stock from 300 million shares to 1 billion shares to allow for a 5-for-1 stock split effective July 1, 2006. The number of shares reported have been adjusted for the 5-for-1 stock split. Changes that have occurred in the total number of shares of the Company's common stock held by the SMART Plan since the filing of the initial statement are reflected in Schedule 1 attached hereto. All such changes have been in accordance with the terms of the SMART Plan. 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 - ------------------------------------------------------------------------ Participants in the Publix Super Markets, Inc. 401(k) SMART Plan have the right to direct the investment and disposition of the funds held in their plan accounts into and out of the Company's common stock through the Publix Stock Fund offered under the plan. Vested participants also have the right upon termination, pursuant to the terms of the plan, to elect an in-kind distribution of the Company's common stock to the extent of their holdings in the Publix Stock Fund. Accordingly, any dividends on the Company's common stock and the proceeds from the sale of the Company's common stock are credited to participants who have elected to invest in and/or dispose of such common stock. 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. SCHEDULE 13G CUSIP No. None Page 5 of 5 Pages -------- -- -- 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, 2007 Publix Super Markets, Inc. 401(k) SMART Plan By: Publix Super Markets, Inc. Plan Administrator By: /s/ Linda S. Kane ------------------ Linda S. Kane Vice President Benefits Administration and Assistant Secretary SCHEDULE 1 SHARES HELD BY PUBLIX SUPER MARKETS, INC. 401(k) SMART PLAN Shares Shares Date Acquired Disposed of Balance Description of Transaction ------ --------- ----------- ----------- -------------------------- Beginning Balance 8,649,292 Feb-06 28,921 8,620,371 Distributions to participants Mar-06 206,528 8,826,899 Company contribution Mar-06 429,342 9,256,241 Purchases by participants Mar-06 169,305 9,086,936 Redemptions by participants Mar-06 22,602 9,064,334 Distributions to participants Apr-06 2,175 9,062,159 Distributions to participants May-06 205,973 9,268,132 Purchases by participants May-06 94,406 9,173,726 Redemptions by participants May-06 5,533 9,168,193 Distributions to participants Jun-06 4,726 9,163,467 Distributions to participants Jul-06 36,653,869 45,817,336 5-for-1 stock split Jul-06 21,636 45,795,700 Distributions to participants Aug-06 1,934,139 47,729,839 Purchases by participants Aug-06 793,896 46,935,943 Redemptions by participants Aug-06 31,511 46,904,432 Distributions to participants Sep-06 16,600 46,887,832 Distributions to participants Oct-06 21,603 46,866,229 Distributions to participants Nov-06 1,144,224 48,010,453 Purchases by participants Nov-06 775,175 47,235,278 Redemptions by participants Dec-06 5,669 47,229,609 Distributions to participants ----------- --------- 40,574,075 1,993,758 =========== ========= -----END PRIVACY-ENHANCED MESSAGE-----