13-G/A 2013 ESOP
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

 
SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 21)*
 
 
 
 
 
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, 2013
(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 5


SCHEDULE 13G
CUSIP No. None    Page 2 of 5 Pages

1

 
Names of Reporting Persons
    
 
 
 
 
 
I.R.S. Identification Nos. of above persons (entities only)
 
 
 
 
 
Publix Super Markets, Inc. Employee Stock Ownership 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
 
—

 
6
Shared Voting Power
 
237,974,499

 
7
Sole Dispositive Power
 
—

 
8
Shared Dispositive Power
 
237,974,499

 
9

 
Aggregate Amount Beneficially Owned by Each Reporting Person
 
 
 
 
 
237,974,499
 
 
 
 
 
10

 
Check if the Aggregate Amount in Row (9) Excludes Certain Shares
 
 
 
 
 
Not applicable
 
 
 
11

 
Percent of Class Represented by Amount in Row (9)
 
 
 
 
 
30.6%
 
 
 
 
 
 
12

 
Type of Reporting Person
 
 
EP
 
 
 
 
 
 
 
 
 
 





SCHEDULE 13G
CUSIP No. None    Page 3 of 5 Pages
 
 
 
 
 
 
 
 
 
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 Person Filing:
 
 
 
 
 
Publix Super Markets, Inc. Employee Stock Ownership Plan
Item 2 (b).
Address of Principal Business Office or, if none, Residence:
 
 
 
 
 
3300 Publix Corporate Parkway, Lakeland, FL 33811
 
 
 
 
Item 2 (c).
Citizenship:
 
 
 
 
 
Florida
 
 
 
 
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 4 of 5 Pages
Item 4.    Ownership
Information regarding ownership of common stock of the issuer:
(a)
Amount beneficially owned:     237,974,499
(b)
Percent of class:     30.6%
(c)
Number of shares as to which such person has:
(i)    Sole power to vote or to direct the vote:    0
(ii)     Shared power to vote or to direct the vote:    237,974,499
(iii)    Sole power to dispose or to direct the disposition of:    0
(iv)    Shared power to dispose or to direct the disposition of:    237,974,499
As of December 31, 2013, the Publix Super Markets, Inc. Employee Stock Ownership Plan (“ESOP”) 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 237,974,499 shares of the Company's common stock or approximately 30.6% 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 ESOP since the filing of the twentieth amendment to the initial statement are reflected in Schedule 1 attached hereto. All such changes have been in accordance with the terms of the ESOP.
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
Dividends paid on the Company’s common stock and attributable to shares allocated to ESOP participants’ accounts may be distributed to such participants as directed by Publix Super Markets, Inc. in accordance with the terms of the Publix Super Markets, Inc. Employee Stock Ownership Trust.
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 5 of 5 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 13, 2014
 
 
 
 
 
 
 
By:
/s/ Hoyt R. Barnett
 
 
 
Hoyt R. Barnett, Trustee
 
 
 
Publix Super Markets, Inc.
 
 
 
Employee Stock Ownership Plan




SCHEDULE 1
SHARES HELD BY PUBLIX SUPER MARKETS, INC.
EMPLOYEE STOCK OWNERSHIP PLAN
Date
 
Shares
Acquired
 
Shares
Disposed of
 
Balance
 
Description of Transaction
 
 
 
 
 
 
 
 
 
 
 
Beginning Balance
 
240,838,023
 
 
Jan-13
 
 
 
857,282

 
239,980,741
 
Distributions to participants
Jan-13
 
789

 
 
 
239,981,530
 
Prior year voided distributions
Feb-13
 
 
 
2,446,967

 
237,534,563
 
Distributions to participants
Feb-13
 
862

 
 
 
237,535,425
 
Prior year voided distributions
Mar-13
 
2,973

 
 
 
237,538,398
 
Special company contributions
Mar-13
 
11,484,813

 
 
 
249,023,211
 
Company contribution - Publix Super Markets, Inc.
Mar-13
 
405,336

 
 
 
249,428,547
 
Company contributions - Publix Alabama, LLC; Publix Asset Management Company
Mar-13
 
 
 
1,993,807

 
247,434,740
 
Distributions to participants
Apr-13
 
 
 
131

 
247,434,609
 
Distributions to participants
May-13
 
 
 
1,998,859

 
245,435,750
 
Distributions to participants
Jun-13
 
 
 
2,005,656

 
243,430,094
 
Distributions to participants
Aug-13
 
 
 
1,501,206

 
241,928,888
 
Distributions to participants
Sep-13
 
 
 
1,719,441

 
240,209,447
 
Distributions to participants
Oct-13
 
 
 
219

 
240,209,228
 
Distributions to participants
Nov-13
 
 
 
1,188,528

 
239,020,700
 
Distributions to participants
Dec-13
 
104

 
 
 
239,020,804
 
Prior year voided distributions
Dec-13
 
 
 
1,067,643

 
237,953,161
 
Distributions to participants
Dec-13
 
21,338

 
 
 
237,974,499
 
Purchase
 
 
11,916,215

 
14,779,739