Statement of Changes in Beneficial Ownership (4)

Date : 12/04/2019 @ 4:57PM
Source : Edgar (US Regulatory)
Stock : Kroger Co (KR)
Quote : 28.15  0.07 (0.25%) @ 1:00AM
After Hours
Last Trade
Last $ 28.22 ▲ 0.07 (0.25%)

Statement of Changes in Beneficial Ownership (4)

FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Gates Anne
2. Issuer Name and Ticker or Trading Symbol

KROGER CO [ KR ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O THE KROGER CO., 1014 VINE STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

12/2/2019
(Street)

CINCINNATI, OH 45202
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock         21055 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Phantom Stock - Incentive Shares $0.00 (1)12/2/2019  A   43.744 (2)    (3) (3)Common Stock 43.744 $27.74 7627.806 D  

Explanation of Responses:
(1) Each phantom share represents the right to receive one common share upon distribution from the deferred compensation account.
(2) Represents phantom stock acquired in dividend reinvestment transactions under a deferred compensation plan of The Kroger Co.
(3) Shares of phantom stock will be distributed following termination of the reporting person's services as an Independent Director of The Kroger Co.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Gates Anne
C/O THE KROGER CO.
1014 VINE STREET
CINCINNATI, OH 45202
X



Signatures
/s/ Anne Gates, by Stacey M. Heiser, Attorney-in-Fact12/4/2019
**Signature of Reporting PersonDate

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