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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 | ||||||||
Performance Shares | $ 0 (1) | 03/21/2013 | M | 742,277 (4) | 03/21/2013 | 08/02/2014(1) | Common Stock | 742,277 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SALES WAYNE C 11840 VALLEY VIEW ROAD EDEN PRAIRIE, MN 55344 |
X |
By: Todd N. Sheldon, Attorney in Fact For: Wayne C. Sales | 05/24/2013 | |
**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) | The performance stock units granted on August 12, 2012, represent a contingent right to receive shares of SUPERVALU common stock. The 447,155 performance shares reported were subject to vesting in a range of 0% to 300% based on the increase in the stock price. Based on the company's stock price, performance shares representing 166.0 percent of the target shares vested, as provided in the award agreement. See also footnote (4) below. |
(2) | Withholding of shares of common stock to satisfy tax withholding obligations. |
(3) | The restricted stock units vested and converted into shares of SUPERVALU common stock upon a change of control of the company. |
(4) | This filing has been amended to decrease the number of shares previously reported to correct an error in the calculation of shares due to rounding of fractional shares, initially reported in footnote (1) above as 166.260 percent. The total amount of securities held has been adjusted accordingly. |