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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) (2) | $ 14.26 (3) | 12/22/2014 | M | 105,000 | (2) | 03/02/2019 | Common Stock | 105,000 | $ 0 | 190,000 | D | ||||
Employee Stock Option (Right to Buy) (2) | $ 14.26 (3) | 12/23/2014 | M | 190,000 | (2) | 03/02/2019 | Common Stock | 190,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) (4) | $ 18.39 (3) | 12/23/2014 | M | 35,000 | (4) | 03/10/2021 | Common Stock | 35,000 | $ 0 | 38,750 | D | ||||
Employee Stock Option (Right to Buy) (5) | $ 17.49 (3) | 12/23/2014 | M | 33,102 | (5) | 03/08/2022 | Common Stock | 33,102 | $ 0 | 33,101 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RENDA LARREE M 5918 STONERIDGE MALL ROAD PLEASANTON, CA 94588-3229 |
Executive Vice President |
/s/ Laura A. Donald, Attorney-in-Fact | 12/24/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Between April 1, 2014 and November 30, 2014, the reporting person acquired 480.3181 shares of Safeway Common Stock under the Safeway 401(k) plan. The information in this report is based on a plan statement dated as of November 30, 2014. |
(2) | Granted under the Safeway Inc. 2007 Equity and Incentive Award Plan, which is a Rule 16b-3 plan. This option became fully exercisable on 3/2/2014. |
(3) | The exercise price of the option was adjusted as a result of the 4/14/2014 distribution of shares of Blackhawk Network Holdings, Inc. |
(4) | Granted under the Safeway Inc. 2007 Equity and Incentive Award Plan, which is a Rule 16b-3 plan. The option is exercisable in five annual increments of 20%, beginning on the first anniversary of the date of grant and will be fully exercisable on 3/10/2016. |
(5) | Granted under the Safeway Inc. 2011 Equity and Incentive Award Plan, which is a Rule 16b-3 plan. The option is exercisable in four annual increments of 25%, beginning on the first anniversary of the date of grant and will be fully exercisable on 03/08/2016. |