1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Non-Qualified Performance Stock Option
|
Â
(2)
|
05/09/2012 |
Common Stock
|
10,000
|
$
22.995
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
05/09/2012 |
Common Stock
|
20,000
|
$
22.995
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
12/12/2012 |
Common Stock
|
80,000
|
$
14.925
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
05/06/2014 |
Common Stock
|
30,000
|
$
17.31
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
05/05/2015 |
Common Stock
|
30,000
|
$
16.385
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
05/04/2016 |
Common Stock
|
18,000
|
$
19.94
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
06/28/2017 |
Common Stock
|
20,000
|
$
28.27
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
06/26/2018 |
Common Stock
|
20,000
|
$
28.61
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
06/25/2019 |
Common Stock
|
20,000
|
$
22.34
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
06/24/2020 |
Common Stock
|
20,000
|
$
20.16
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
06/23/2021 |
Common Stock
|
25,360
|
$
24.74
|
D
|
Â
|
Non-Qualified Stock Option
|
Â
(3)
|
06/23/2021 |
Common Stock
|
10,000
|
$
24.74
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
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. |
(2) |
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. |
(3) |
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. |