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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Class B Comon Stock | Â | 11/14/2011 | Â | G | Â | 680,000 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 0 | By Irrevocable Trust (4) | ||
Class B Common Stock | Â | 11/14/2011 | Â | G | 680,000 | Â | Â (3) | Â (3) | Class A Common Stock | $ 0 | 776,817 (5) | By Marital Trust (6) | ||
Class B Common Stock | Â | 12/10/2012 | Â | G | Â | 680,000 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 96,817 | By Marital Trust (6) | ||
Class B Common Stock | Â | 12/10/2012 | Â | G | 170,000 | Â | Â (3) | Â (3) | Class A Common Stock | $ 0 | 300,874 | Â | ||
Class B Common Stock | Â | 12/27/2012 | Â | G | Â | 170,000 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 130,874 | Â | ||
Class B Common Stock | Â | 12/27/2012 | Â | G | 170,000 | Â | Â (3) | Â (3) | Class A Common Stock | $ 0 | 170,000 | By Descendants Trust (1) | ||
Class B Common Stock | Â | 12/27/2012 | Â | G | Â | 96,817 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 0 | By Marital Trust (6) | ||
Class B Common Stock | Â | 12/27/2012 | Â | G | 24,204 | Â | Â (3) | Â (3) | Class A Common Stock | $ 0 | 155,078 | Â | ||
Class B Common Stock | Â | 12/27/2012 | Â | M4 | Â | 24,204 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 130,874 | Â | ||
Class B Common Stock | Â | 04/08/2013 | Â | G | Â | 1,036,961 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 8,431,689 | By Laura Ingle Trust (7) | ||
Class B Common Stock | Â | 04/08/2013 | Â | G | 1,036,961 | Â | Â (3) | Â (3) | Class A Common Stock | $ 0 | 1,036,961 | By Marital Trust (6) | ||
Class B Common Stock | Â | 05/30/2013 | Â | G | Â | 1,000,000 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 7,431,689 | By Laura Ingle Trust (7) | ||
Class B Common Stock | Â | 05/30/2013 | Â | G | 1,000,000 | Â | Â (3) | Â (3) | Class A Common Stock | $ 0 | 2,036,961 | By Marital Trust (6) | ||
Class B Common Stock | Â | 06/19/2013 | Â | G | Â | 1,000,000 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 6,431,689 | By Laura Ingle Trust (7) | ||
Class B Common Stock | Â | 06/19/2013 | Â | G | 1,000,000 | Â | Â (3) | Â (3) | Class A Common Stock | $ 0 | 3,036,961 | By Marital Trust (6) | ||
Class B Common Stock | Â | 06/26/2013 | Â | D4 (8) | Â | 1,500,000 | Â (3) | Â (3) | Class A Common Stock | $ 24.75 | 4,931,689 (8) | By Laura Ingle Trust (7) | ||
Class B Common Stock | Â | 07/01/2013 | Â | M4 | Â | 170,000 | Â (3) | Â (3) | Class A Common Stock | $ 0 | 0 | By Descendants Trust (1) | ||
Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (3) | Â (3) | Class A Common Stock | Â | 519,525 | By Profit Sharing Plan Trust (2) | ||
Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (3) | Â (3) | Class A Common Stock | Â | 24,076 | See Footnote (9) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
INGLE ROBERT P II 2913 US HIGHWAY 70 WEST BLACK MOUNTAIN, NC 28711 |
 X |  X |  Chairman & CEO |  |
Ronald B. Freeman, as attorney-in-fact | 11/12/2013 | |
**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 shares are held by Robert P. Ingle II Descendants Trust dated December 10, 2012 (the "Descendants Trust"). The reporting person's spouse and mother are the trustees of the Descendants Trust with voting and dispositive power with respect to such shares. |
(2) | The shares are held by Ingles Markets Inc. Investment/Profit Sharing Plan Trust (the "Profit Sharing Plan Trust"), of which the reporting person was appointed a trustee on May 10, 2011. The reporting person shares voting and dispositive power with the two other trustees of the Profit Sharing Plan Trust with respect to such shares. |
(3) | Class B Common Stock is convertible into Class A Common Stock at any time on a one-for-one basis, and has no expiration date. |
(4) | The shares are held by Robert Pierce Ingle 2011 Irrevocable Trust (the "Irrevocable Trust"), which was created by Robert P. Ingle, Sr. for estate planning purposes on February 15, 2011. The reporting person is the sole trustee of the Irrevocable Trust with sole voting and dispositive power with respect to such shares. |
(5) | Includes 96,817 shares not previously reported as held by the Marital Trust (as defined herein). |
(6) | The shares are held by Robert P. Ingle, Sr. Administrative Trust UTA Robert Pierce Ingle Living Trust dated December 24, 2010 (the "Marital Trust"), which was created by Robert P. Ingle, Sr. for estate planning purposes on December 24, 2010. The reporting person is the sole trustee of the Marital Trust with sole voting and dispositive power with respect to such shares. |
(7) | The shares are held by Laura Anne Laxton Ingle 2011 Irrevocable Trust dated September 8, 2011 (the "Laura Ingle Trust"), which was created by Laura Ingle, the reporting person's mother, for estate planning purposes on September 8, 2011. The reporting person is the sole trustee of the Laura Ingle Trust with sole voting and dispositive power with respect to such shares. |
(8) | This transaction was incorrectly reported on the Reporting Person's Form 4 filed on June 28, 2013 as a disposition by the Irrevocable Trust instead of a disposition by the Laura Ingle Trust. |
(9) | These shares are held by the reporting person's spouse as custodian for the minor children of the reporting person. |