0001193125-12-058051.txt : 20120214 0001193125-12-058051.hdr.sgml : 20120214 20120214061733 ACCESSION NUMBER: 0001193125-12-058051 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 GROUP MEMBERS: TINA P. JOHNSON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PUBLIX SUPER MARKETS INC CENTRAL INDEX KEY: 0000081061 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 590324412 STATE OF INCORPORATION: FL FISCAL YEAR END: 1225 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38638 FILM NUMBER: 12602279 BUSINESS ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 BUSINESS PHONE: 863-688-1188 MAIL ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Publix Super Markets, Inc. 401(k) SMART Plan CENTRAL INDEX KEY: 0001351715 IRS NUMBER: 135581829 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 BUSINESS PHONE: 863-688-1188 MAIL ADDRESS: STREET 1: 3300 PUBLIX CORPORATE PARKWAY CITY: LAKELAND STATE: FL ZIP: 33811 SC 13G/A 1 d295307dsc13ga.htm AMENDED NO. 6 TO SCHEDULE 13G Amended No. 6 to Schedule 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 6)*

 

 

Publix Super Markets, Inc.

(Name of Issuer)

 

 

Common Stock, Par Value $1.00 Per Share

(Title of Class of Securities)

None

(CUSIP Number)

December 31, 2011

(Date of Event which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

x Rule 13d-1(b)

¨ Rule 13d-1(c)

¨ Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 

 

 

 

Page 1 of 6

SCHEDULE 13G

 

CUSIP No. None   Page 2 of 6 Pages

 

  1   

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

 

Publix Super Markets, Inc. 401(k) SMART Plan

  2  

Check the Appropriate Box if a Member of a Group

(a)  ¨        (b)  x

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    Florida

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

With:

    5    

Sole Voting Power

 

    0

   6   

Shared Voting Power

 

    0

   7   

Sole Dispositive Power

 

    0

   8   

Shared Dispositive Power

 

    63,200,675

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    63,200,675

10

  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ¨

 

    Not applicable.

11

  

Percent of Class Represented by Amount in Row (9)

 

    8.1%

12

  

Type of Reporting Person

 

    EP

 

SCHEDULE 13G

 

CUSIP No. None   Page 3 of 6 Pages

 

  1   

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

 

Tina P. Johnson

  2  

Check the Appropriate Box if a Member of a Group

(a)  ¨        (b)  x

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    United States

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

With:

    5    

Sole Voting Power

 

    63,200,675

   6   

Shared Voting Power

 

    0

   7   

Sole Dispositive Power

 

    0

   8   

Shared Dispositive Power

 

    63,200,675

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    63,200,675

10

  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ¨

 

    Not applicable.

11

  

Percent of Class Represented by Amount in Row (9)

 

    8.1%

12

  

Type of Reporting Person

 

    IN

 

SCHEDULE 13G

 

CUSIP No. None    Page 4 of 6 Pages

 

 

EXPLANATORY NOTE: This sixth amendment to the initial statement is being filed to reflect changes in the holdings of the Publix Super Markets, Inc. 401(k) SMART Plan (“SMART Plan”) during 2011 and to add Tina P. Johnson, a non-institutional trustee of the SMART Plan, as a reporting person. The joint filing agreement of the reporting persons is attached as Exhibit 1.

      
Item 1  

(a).

    Name of Issuer:      
     Publix Super Markets, Inc.      
Item 1  

(b).

    Address of Issuer’s Principal Executive Offices:      
     3300 Publix Corporate Parkway, Lakeland, FL 33811      
Item 2  

(a).

    Name of Persons Filing:      
    

Publix Super Markets, Inc. 401(k) SMART Plan

Tina P. Johnson

      
Item 2  

(b).

    Address of Principal Business Office or, if none, Residence:      
     3300 Publix Corporate Parkway, Lakeland, FL 33811      
Item 2  

(c).

    Citizenship:      
    

The Publix Super Markets, Inc. 401(k) SMART Plan was formed under Florida law.

Tina P. Johnson is a United States citizen.

      
Item 2  

(d).

    Title of Class of Securities:      
     Common Stock, Par Value $1.00 Per Share      
Item 2  

(e).

    CUSIP Number:      
     None      
Item 3.   If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:   
  f.    x    An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F).

SCHEDULE 13G

 

CUSIP No. None    Page 5 of 6 Pages

 

Item 4.    Ownership      
   Information regarding ownership of common stock of the issuer:      
   (a-b)    Amount beneficially owned and percent of class:      
  

Together the reporting persons are deemed to beneficially own an aggregate of 63,200,675 shares of the Company’s common stock, representing an aggregate of approximately 8.1% of the total outstanding shares of the Company’s common stock as follows:

      
  

As of December 31, 2011, the SMART Plan was the beneficial owner, as that term is defined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended, of a total of 63,200,675 shares of the Company’s common stock or approximately 8.1% of the total outstanding shares of the Company’s common stock.

      
  

Changes that have occurred in the total number of shares of the Company’s common stock held by the SMART Plan since the filing of the fifth amendment to the initial statement are reflected in Schedule 1 attached hereto. All such changes have been in accordance with the terms of the SMART Plan.

      
  

In Tina Johnson’s capacity as a trustee of the SMART Plan, Ms. Johnson is deemed to have sole voting and shared dispositive power over shares held by the SMART Plan. She is therefore deemed to be the beneficial owner of an aggregate of 63,200,675 shares or approximately 8.1% of the total outstanding shares of the Company’s common stock.

      
   c.    Regarding the number of shares as to which each reporting person has:      
      i.    Sole power to vote or direct the vote: see line 5 of the cover sheets.      
      ii.    Shared power to vote or direct the vote: see line 6 of the cover sheets.      
      iii.    Sole power to dispose or to direct the disposition of: see line 7 of the cover sheets.      
      iiii.    Shared power to dispose or to direct the disposition of: see line 8 of the cover sheets.      
Item 5.    Ownership of Five Percent or Less of a Class   
   Not applicable.   
Item 6.    Ownership of More than Five Percent on Behalf of Another Person      
  

Participants in the SMART Plan have the right to direct the investment and disposition of the funds held in their plan accounts into and out of the Company’s common stock through the Publix Stock Fund offered under the SMART Plan. Vested participants also have the right upon termination, pursuant to the terms of the SMART Plan, to elect an in-kind distribution of the Company’s common stock to the extent of their holdings in the Publix Stock Fund. Accordingly, any dividends on the Company’s common stock and the proceeds from the sale of the Company’s common stock are credited to participants who have elected to invest in and/or dispose of such common stock.

      
Item 7.    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
   Not applicable.
Item 8.    Identification and Classification of Members of the Group      
   Not applicable.      
Item 9.    Notice of Dissolution of Group      
   Not applicable.      
Item 10.    Certification      
   By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.      

SCHEDULE 13G

 

CUSIP No. None    Page 6 of 6 Pages

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated: February 14, 2012   Publix Super Markets, Inc.
  401(k) SMART Plan
  By:  

/s/ Tina P. Johnson

    Tina P. Johnson
    Trustee
  By:   Publix Super Markets, Inc.
    Plan Administrator
  By:  

/s/ Linda S. Kane

    Linda S. Kane
    Vice President Benefits
   

Administration and

Assistant Secretary

SCHEDULE 1

SHARES HELD BY PUBLIX SUPER MARKETS, INC.

401(k) SMART PLAN

 

Date    Shares
Acquired		      Shares
Disposed of		      Balance     

Description of Transaction

Beginning Balance

  

      59,668,975      
Jan-11         55,219         59,613,756       Distributions to participants
Feb-11         99,317         59,514,439       Distributions to participants
Mar-11      1,076,673            60,591,112       Company contribution
Mar-11      1,922,343            62,513,455       Purchases by participants
Mar-11         1,344,747         61,168,708       Redemptions by participants
Mar-11         44,680         61,124,028       Distributions to participants
Apr-11         33,604         61,090,424       Distributions to participants
May-11      944,043            62,034,467       Purchases by participants
May-11         681,691         61,352,776       Redemptions by participants
May-11         30,273         61,322,503       Distributions to participants
Jun-11         28,708         61,293,795       Distributions to participants
Jul-11         17,328         61,276,467       Distributions to participants
Aug-11      2,798,098            64,074,565       Purchases by participants
Aug-11         1,062,880         63,011,685       Redemptions by participants
Aug-11         42,460         62,969,225       Distributions to participants
Sep-11         38,705         62,930,520       Distributions to participants
Oct-11         42,012         62,888,508       Distributions to participants
Nov-11      1,543,245            64,431,753       Purchases by participants
Nov-11         1,214,571         63,217,182       Redemptions by participants
Nov-11         16,435         63,200,747       Distributions to participants
Dec-11         72         63,200,675       Distributions to participants
  

 

 

     

 

 

        
     8,284,402         4,752,702         
  

 

 

     

 

 

        

EXHIBIT 1

JOINT FILING AGREEMENT

Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement concerning the information required by Schedule 13G need be filed with respect to the beneficial ownership by each of the undersigned reporting persons of common stock of Publix Super Markets, Inc.

 

Dated: February 14, 2012   Publix Super Markets, Inc.
  401(k) SMART Plan
  By:  

/s/ Tina P. Johnson

    Tina P. Johnson
    Trustee
  By:   Publix Super Markets, Inc.
    Plan Administrator
  By:  

/s/ Linda S. Kane

    Linda S. Kane
    Vice President Benefits
    Administration and
    Assistant Secretary