1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ANNUAL REPORT Pursuant to Section 13 or 15 (d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended Commission File No. 1-303 January 29, 2000 THE KROGER CO. An Ohio Corporation I.R.S. Employer Identification No. 31-0345740 Address Telephone Number 1014 Vine St. (513) 762-4000 Cincinnati, Ohio 45202 Securities registered pursuant to section 12 (b) of the Act: Name of Exchange on Title of Class which Registered Common $1 par value New York Stock Exchange 830,804,611 shares outstanding on April 26, 2000 Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15 (d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes [X] No [ ]. Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K[ ]. The aggregate market value of the Common Stock of The Kroger Co. held by non-affiliates as of March 6, 2000: $12,256,639,106. Documents Incorporated by Reference: Proxy Statement to be filed pursuant to Regulation 14A of the Exchange Act on or before May 28, 2000, incorporated by reference into Parts II and III of Form 10-K. 2 Item 12. Security Ownership of Certain Beneficial Owners and Management. BENEFICIAL OWNERSHIP OF COMMON STOCK As of March 6, 2000, the directors of the Company, the named executive officers and the directors and executive officers as a group, beneficially owned shares of the Company's common stock as follows: AMOUNT AND NATURE OF BENEFICIAL NAME OWNERSHIP - ------------------------------------------------------------------------------------------------ Reuben V. Anderson.......................................... 30,400(1) Robert D. Beyer............................................. 2,812 Warren F. Bryant............................................ 450,839(2)(3)(4) Ronald W. Burkle............................................ 19,843,811(5) John L. Clendenin........................................... 30,400(6) David B. Dillon............................................. 1,289,399(2)(3)(7) Michael S. Heschel.......................................... 188,048(2)(3) Carlton J. Jenkins.......................................... 1,404 Bruce Karatz................................................ 6,706 John T. LaMacchia........................................... 30,400(1) Edward M. Liddy............................................. 20,000(8) W. Rodney McMullen.......................................... 551,053(2)(3) Clyde R. Moore.............................................. 4,400(6) T. Ballard Morton, Jr. ..................................... 66,400(1) Thomas H. O'Leary........................................... 30,400(1) Katherine D. Ortega......................................... 32,756(1) Joseph A. Pichler........................................... 2,397,051(2)(3)(9) Steven R. Rogel............................................. 15,028 Martha Romayne Seger........................................ 31,200(1) Bobby S. Shackouls.......................................... 2,000 James D. Woods.............................................. 30,400(1) Directors and Executive Officers as a group (including those named above).............................................. 27,034,450(2)(3)(10)(11) - -------------------------------------------------------------------------------- (1) This amount includes 26,400 shares that represent options exercisable on or before May 5, 2000. (2) This amount includes shares that represent options exercisable on or before May 5, 2000, in the following amounts: Mr. Bryant, 328,000; Mr. Dillon, 513,000; Mr. Heschel, 79,334; Mr. McMullen, 381,000; Mr. Pichler, 901,000; and all directors and executive officers as a group, 3,757,490. (3) The fractional interest resulting from allocations under Kroger's 401(k) plan and Dillon's ESOP and 401(k) plan has been rounded to the nearest whole number. (4) This amount includes 9,712 shares owned by Mr. Bryant's wife. Mr. Bryant disclaims beneficial ownership of these shares. (5) Mr. Burkle disclaims beneficial ownership of his shares, except to the extent of his pecuniary interest in them. Mr. Burkle's total includes a currently exercisable warrant held by affiliates to purchase 7,738,732 shares, and 50,000 shares held by a charitable trust of which Mr. Burkle is trustee. (6) This amount includes 2,400 shares that represent options exercisable on or before May 5, 2000. (7) This amount includes 176,318 shares owned by Mr. Dillon's wife, 54,024 shares in his children's trust and 137,760 shares owned by his children. Mr. Dillon disclaims beneficial ownership of these shares. (8) This amount includes 10,400 shares that represent options exercisable on or before May 5, 2000. (9) This amount includes 32,070 shares owned by Mr. Pichler's wife. Mr. Pichler disclaims beneficial ownership of these shares. (10) The figure shown includes an aggregate of 29,526 additional shares held by, or for the benefit of, the immediate families or other relatives of all directors and executive officers as a group not listed above. In each case the director or executive officer disclaims beneficial ownership of those shares. 3 (11) Mr. Burkle and his affiliates own 2.3% of the common stock of the Company. No other director or executive officer owned as much as 1% of the common stock of the Company. The directors and executive officers as a group beneficially owned 3.1% of the common stock of the Company. As of March 6, 2000, the following persons reported beneficial ownership of the Company's common stock based on reports on Schedule 13G filed with the Securities and Exchange Commission or other reliable information as follows: AMOUNT AND NATURE OF PERCENTAGE NAME ADDRESS OF BENEFICIAL OWNER OWNERSHIP OF CLASS - -------------------------------------------------------------------------------------------------------------------- AXA Assurances 21, rue de Chateaudun 89,715,479 10.2% I.A.R.D. Mutuelle 75009 Paris, France The Kroger Co. Savings Plan 1014 Vine Street 57,274,157(1) 6.5% Cincinnati, OH 45202 Oppenheimer Capital 1345 Avenue of the Americas 50,255,891 5.7% New York, NY 10105-4800 - ------------ (1) Shares beneficially owned by plan trustees for the benefit of participants in employee benefit plans. 4 SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. THE KROGER CO. Dated: May 17, 2000 By (*Joseph A. Pichler) Joseph A. Pichler, Chairman of the Board of Directors and Chief Executive Officer Dated: May 17, 2000 By (*J. Michael Schlotman) J. Michael Schlotman Group Vice President and Chief Financial Officer Dated: May 17, 2000 By (*M. Elizabeth Van Oflen) M. Elizabeth Van Oflen Vice President & Corporate Controller and Principal Accounting Officer Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Company and in the capacities indicated on the 17th day of May, 2000. (*Reuben V. Anderson) Director Reuben V. Anderson (*Robert D. Beyer) Director Robert D. Beyer (*Ronald W. Burkle) Director Ronald W. Burkle (*John L. Clendenin) Director John L. Clendenin (*David B. Dillon) President, Chief Operating David B. Dillon Officer, and Director 5 (*Carlton J. Jenkins) Director Carlton J. Jenkins (*Bruce Karatz) Director Bruce Karatz (*John T. LaMacchia) Director John T. LaMacchia ________________________ Director Edward M. Liddy (*Clyde R. Moore) Director Clyde R. Moore (*T. Ballard Morton, Jr.) Director T. Ballard Morton, Jr. (*Thomas H. O'Leary) Director Thomas H. O'Leary (*Katherine D. Ortega) Director Katherine D. Ortega (*Joseph A. Pichler) Chairman of the Board of Joseph A. Pichler Directors, Chief Executive Officer, and Director (*Steven R. Rogel) Director Steven R. Rogel ________________________ Director Martha Romayne Seger (*Bobby S. Shackouls) Director Bobby S. Shackouls (*James D. Woods) Director James D. Woods *By: (Bruce M. Gack) Bruce M. Gack Attorney-in-fact