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Gross Mark

Disclosed activity across 4 companies

Tapewire entity
78173
SEC CIK
0001665838

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
DIEBOLD NIXDORF, IncDBD · Entity 4421DirectorDecember 24, 2023December 26, 2023
Rackspace Technology, Inc.RXT · Entity 1237DirectorJune 20, 2025June 24, 2025

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

DIEBOLD NIXDORF, Inc

Report date December 24, 2023 · Filed December 26, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect40,000 Reported balance After 2023-12-24 transaction · row 1
1 source row

Row 1 · 2023-12-24 · Grant · Acquired 40,000 · Balance 40,000

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.00 · Expires 2028-12-24Direct80,000 Reported balance After 2023-12-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-12-24 · Grant · Acquired 80,000 · Balance 80,000

F1: Granted under the Diebold Nixdorf, Incorporated 2023 Equity and Incentive Plan, as amended; option is generally exercisable in substantially equal installments on each of the first four anniversaries of September 22, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: Granted under the Diebold Nixdorf, Incorporated 2023 Equity and Incentive Plan, as amended; option is generally exercisable in substantially equal installments on each of the first four anniversaries of September 22, 2023.

Rackspace Technology, Inc.

Report date June 20, 2025 · Filed June 24, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect168,095 Reported balance After 2025-06-20 transaction · row 1
1 source row

Row 1 · 2025-06-20 · Grant · Acquired 75,471 · Balance 168,095

F1: Represents a grant of restricted stock units ("RSUs") under the Non-Employee Director Compensation Policy of the Issuer in a transaction exempt under Section 16b-3. Each RSU represents the right to receive one share of common stock of Rackspace Technology, Inc. upon vesting. The shares underlying the RSUs will vest on the earlier of (a) the next subsequent annual meeting of stockholders following the grant date or (b) the one year anniversary of the grant date, subject to the reporting person remaining a member of the Issuer's board of directors through such date.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a grant of restricted stock units ("RSUs") under the Non-Employee Director Compensation Policy of the Issuer in a transaction exempt under Section 16b-3. Each RSU represents the right to receive one share of common stock of Rackspace Technology, Inc. upon vesting. The shares underlying the RSUs will vest on the earlier of (a) the next subsequent annual meeting of stockholders following the grant date or (b) the one year anniversary of the grant date, subject to the reporting person remaining a member of the Issuer's board of directors through such date.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Kernel Group Holdings, Inc.

Report date December 28, 2022 · Filed January 03, 2023

Jointly reported with Kernel Capital Holdings, LLC, Northart Brett, Tondon Rakesh

Section 16 reporting ended · disclosed 2023-01-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B ordinary sharesSEC Table II · derivative / convertible securityDirect0 Reported balance After 2022-12-28 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-12-28 · Sale · Disposed 7,493,750 · Balance 0

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-252105) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2: In exchange for the reported securities, the Reporting Persons received the "Purchase Price" and additional consideration (contingent upon closing of the issuer's initial business combination) as defined and set forth in the Form 8-K filed by the issuer with respect to the transactions reported herein. In connection with the reported transactions, each of Brett Northart, Mark Gross and Rakesh Tondon resigned from the issuer's board of directors and from their respective officer positions and, accordingly, cease to be reporting persons for purposes of Section 16.

F3: The reported securities were directly held by Kernel Capital Holdings, LLC (the "Sponsor"). Brett Northart, Mark Gross and Rakesh Tondon control the Sponsor, and as such, share voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor, provided that, they each disclaim beneficial ownership of the securities reported hereby except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission by any of the foregoing of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-252105) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2: In exchange for the reported securities, the Reporting Persons received the "Purchase Price" and additional consideration (contingent upon closing of the issuer's initial business combination) as defined and set forth in the Form 8-K filed by the issuer with respect to the transactions reported herein. In connection with the reported transactions, each of Brett Northart, Mark Gross and Rakesh Tondon resigned from the issuer's board of directors and from their respective officer positions and, accordingly, cease to be reporting persons for purposes of Section 16.

F3: The reported securities were directly held by Kernel Capital Holdings, LLC (the "Sponsor"). Brett Northart, Mark Gross and Rakesh Tondon control the Sponsor, and as such, share voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor, provided that, they each disclaim beneficial ownership of the securities reported hereby except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission by any of the foregoing of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SUPERVALU INC

Report date October 22, 2018 · Filed October 24, 2018

Section 16 reporting ended · disclosed 2018-10-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-10-22 transaction · row 1
1 source row

Row 1 · 2018-10-22 · Disposition to issuer · Disposed 6,467 · Balance 0

F1: At the effective time, each outstanding share of the Company's common stock (other than shares owned by the Company, UNFI or any of their respective subsidiaries (except for shares of common stock held on behalf of third parties), dissenting shares and any Company restricted shares) was disposed of pursuant to the Merger Agreement in exchange for $32.50 per share, without interest.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.75 · Expires 2026-02-05Direct0 Reported balance After 2018-10-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2018-10-22 · Disposition to issuer · Disposed 232,167 · Balance 0

F2: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.19 · Expires 2027-04-27Direct0 Reported balance After 2018-10-22 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2018-10-22 · Disposition to issuer · Disposed 35,903 · Balance 0

F2: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2018-10-22 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2018-10-22 · Disposition to issuer · Disposed 18,088 · Balance 0

F3: At the effective time, each outstanding restricted stock unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value equal to the product of (i) the number of shares of SUPERVALU common stock subject to such award and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

Performance SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2018-10-22 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-10-22 · Disposition to issuer · Disposed 194,957 · Balance 0

F4: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

Performance SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct265,146 Reported balance After 2018-10-22 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2018-10-22 · Grant · Disposed 265,146 · Balance 265,146

F4: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

Performance SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2018-10-22 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-10-22 · Disposition to issuer · Disposed 265,146 · Balance 0

F4: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: At the effective time, each outstanding share of the Company's common stock (other than shares owned by the Company, UNFI or any of their respective subsidiaries (except for shares of common stock held on behalf of third parties), dissenting shares and any Company restricted shares) was disposed of pursuant to the Merger Agreement in exchange for $32.50 per share, without interest.

F2: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

F3: At the effective time, each outstanding restricted stock unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value equal to the product of (i) the number of shares of SUPERVALU common stock subject to such award and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 20, 2025 Filed Jun 24, 2025 21:58 UTC Rackspace Technology, Inc. RXT · Entity 1237 GrantCommon Stock 75,471 $0.00 $0.00
Disclosure

SEC source: 0001810019-25-000094 · wk-form4_1750802315.xml · nonDerivative · entry 1

Gross Mark · CIK 0001665838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,095

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the Non-Employee Director Compensation Policy of the Issuer in a transaction exempt under Section 16b-3. Each RSU represents the right to receive one share of common stock of Rackspace Technology, Inc. upon vesting. The shares underlying the RSUs will vest on the earlier of (a) the next subsequent annual meeting of stockholders following the grant date or (b) the one year anniversary of the grant date, subject to the reporting person remaining a member of the Issuer's board of directors through such date.

Read SEC document
June 24, 2024 Filed Jun 26, 2024 21:07 UTC Rackspace Technology, Inc. RXT · Entity 1237 GrantCommon Stock 51,948 $0.00 $0.00
Disclosure

SEC source: 0001810019-24-000119 · wk-form4_1719436052.xml · nonDerivative · entry 1

Gross Mark · CIK 0001665838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,624

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the Non-Employee Director Compensation Policy of the Issuer in a transaction exempt under Section 16b-3. Each RSU represents the right to receive one share of common stock of Rackspace Technology, Inc. upon vesting. The shares underlying the RSUs will vest on the next subsequent annual meeting of stockholders following the grant date, subject to the reporting person remaining a member of the Issuer's board of directors through such date.

Read SEC document
February 13, 2024 Filed Feb 17, 2024 00:26 UTC Rackspace Technology, Inc. RXT · Entity 1237 GrantCommon Stock 40,676 $0.00 $0.00
Disclosure

SEC source: 0001810019-24-000017 · wk-form4_1708129580.xml · nonDerivative · entry 1

Gross Mark · CIK 0001665838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,676

F1 · kind: Represents a pro-rated grant of restricted stock units ("RSUs") under the Non-Employee Director Compensation Policy of the Issuer in a transaction exempt under Section 16b-3. Each RSU represents the right to receive one share of common stock of Rackspace Technology, Inc. upon vesting. The shares underlying the RSUs will vest on the next subsequent annual meeting of stockholders following the grant date, subject to the reporting person remaining a member of the Issuer's board of directors through such date.

Read SEC document
December 24, 2023 Filed Dec 26, 2023 14:38 UTC DIEBOLD NIXDORF, Inc DBD · Entity 4421 GrantDirector Stock Option (right to buy) · Derivative 80,000 $0.00 Strike: $30.00 $0.00
Disclosure

SEC source: 0000028823-23-000164 · wk-form4_1703601493.xml · derivative · entry 2

Gross Mark · CIK 0001665838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2028-12-24

F1 · derivative.exercise_date: Granted under the Diebold Nixdorf, Incorporated 2023 Equity and Incentive Plan, as amended; option is generally exercisable in substantially equal installments on each of the first four anniversaries of September 22, 2023.

Read SEC document
December 24, 2023 Filed Dec 26, 2023 14:38 UTC DIEBOLD NIXDORF, Inc DBD · Entity 4421 GrantCommon Stock 40,000 $0.00 $0.00
Disclosure

SEC source: 0000028823-23-000164 · wk-form4_1703601493.xml · nonDerivative · entry 1

Gross Mark · CIK 0001665838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Read SEC document
December 28, 2022 Filed Jan 3, 2023 21:25 UTC Kernel Group Holdings, Inc. KRNL · Entity 111780 SaleClass B ordinary shares · Derivative 7,493,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-000277 · form4.xml · derivative · entry 1

Kernel Capital Holdings, LLC · CIK 0001830397 · Director · 10% owner

Northart Brett · CIK 0001840855 · Director · Chief Operating Officer · 10% owner

Gross Mark · CIK 0001665838 · Director · Chief Executive Officer · 10% owner

Tondon Rakesh · CIK 0001841455 · Director · Chief Financial Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A ordinary shares · 7,493,750 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-252105) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · price: In exchange for the reported securities, the Reporting Persons received the "Purchase Price" and additional consideration (contingent upon closing of the issuer's initial business combination) as defined and set forth in the Form 8-K filed by the issuer with respect to the transactions reported herein. In connection with the reported transactions, each of Brett Northart, Mark Gross and Rakesh Tondon resigned from the issuer's board of directors and from their respective officer positions and, accordingly, cease to be reporting persons for purposes of Section 16.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-252105) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-252105) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F3 · ownership.direct: The reported securities were directly held by Kernel Capital Holdings, LLC (the "Sponsor"). Brett Northart, Mark Gross and Rakesh Tondon control the Sponsor, and as such, share voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor, provided that, they each disclaim beneficial ownership of the securities reported hereby except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission by any of the foregoing of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 22, 2018 Filed Oct 24, 2018 16:35 UTC SUPERVALU INC SVU · Entity 162831 Disposition to issuerPerformance Shares · Derivative 265,146 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001140361-18-041246 · form4.xml · derivative · entry 7

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 265,146 shares

Expires not disclosed

F4 · derivative.exercise_price: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · kind: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · price: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · derivative.exercise_date: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · derivative.expiration_date: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

Read SEC document
October 22, 2018 Filed Oct 24, 2018 16:35 UTC SUPERVALU INC SVU · Entity 162831 GrantPerformance Shares · Derivative 265,146 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001140361-18-041246 · form4.xml · derivative · entry 6

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,146

Underlying: Common Stock · 265,146 shares

Expires not disclosed

F4 · derivative.exercise_price: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · kind: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · price: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · derivative.exercise_date: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · derivative.expiration_date: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

Read SEC document
October 22, 2018 Filed Oct 24, 2018 16:35 UTC SUPERVALU INC SVU · Entity 162831 Disposition to issuerPerformance Shares · Derivative 194,957 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001140361-18-041246 · form4.xml · derivative · entry 5

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 194,957 shares

Expires not disclosed

F4 · derivative.exercise_price: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · kind: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · price: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · derivative.exercise_date: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F4 · derivative.expiration_date: At the effective time, each outstanding performance share unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time (other than performance-based conditions) and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value to the product of (i) the number of shares of SUPERVALU common stock subject to such award (assuming performance is satisfied as set forth in the Merger Agreement) and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

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October 22, 2018 Filed Oct 24, 2018 16:35 UTC SUPERVALU INC SVU · Entity 162831 Disposition to issuerRestricted Stock Units · Derivative 18,088 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001140361-18-041246 · form4.xml · derivative · entry 4

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,088 shares

Expires not disclosed

F3 · derivative.exercise_price: At the effective time, each outstanding restricted stock unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value equal to the product of (i) the number of shares of SUPERVALU common stock subject to such award and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F3 · kind: At the effective time, each outstanding restricted stock unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value equal to the product of (i) the number of shares of SUPERVALU common stock subject to such award and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F3 · price: At the effective time, each outstanding restricted stock unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value equal to the product of (i) the number of shares of SUPERVALU common stock subject to such award and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F3 · derivative.exercise_date: At the effective time, each outstanding restricted stock unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value equal to the product of (i) the number of shares of SUPERVALU common stock subject to such award and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

F3 · derivative.expiration_date: At the effective time, each outstanding restricted stock unit award was converted into a UNFI cash award generally on the same terms and conditions as applied prior to the effective time and payable, at UNFI's election, in cash and/or an equal value in shares of UNFI common stock, which award had a value equal to the product of (i) the number of shares of SUPERVALU common stock subject to such award and (ii) $32.50, in accordance with the terms and conditions of the Merger Agreement.

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October 22, 2018 Filed Oct 24, 2018 16:35 UTC SUPERVALU INC SVU · Entity 162831 Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative 35,903 $0.00 Strike: $29.19 $0.00
Disclosure

SEC source: 0001140361-18-041246 · form4.xml · derivative · entry 3

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,903 shares

Expires 2027-04-27

F2 · derivative.exercise_price: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

F2 · kind: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

F2 · price: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

F2 · derivative.exercise_date: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

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October 22, 2018 Filed Oct 24, 2018 16:35 UTC SUPERVALU INC SVU · Entity 162831 Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative 232,167 $0.00 Strike: $29.75 $0.00
Disclosure

SEC source: 0001140361-18-041246 · form4.xml · derivative · entry 2

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 232,167 shares

Expires 2026-02-05

F2 · derivative.exercise_price: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

F2 · kind: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

F2 · price: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

F2 · derivative.exercise_date: At the effective time, each outstanding and unexercised stock option, whether vested or unvested, was converted into an option to purchase shares of UNFI common stock generally on the same terms and conditions as applied prior to the effective time, in accordance with the terms and conditions of the Merger Agreement.

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October 22, 2018 Filed Oct 24, 2018 16:35 UTC SUPERVALU INC SVU · Entity 162831 Disposition to issuerCommon Stock 6,467 $32.50 $210,177.50
Disclosure

SEC source: 0001140361-18-041246 · form4.xml · nonDerivative · entry 1

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: At the effective time, each outstanding share of the Company's common stock (other than shares owned by the Company, UNFI or any of their respective subsidiaries (except for shares of common stock held on behalf of third parties), dissenting shares and any Company restricted shares) was disposed of pursuant to the Merger Agreement in exchange for $32.50 per share, without interest.

F1 · price: At the effective time, each outstanding share of the Company's common stock (other than shares owned by the Company, UNFI or any of their respective subsidiaries (except for shares of common stock held on behalf of third parties), dissenting shares and any Company restricted shares) was disposed of pursuant to the Merger Agreement in exchange for $32.50 per share, without interest.

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April 27, 2018 Filed Apr 30, 2018 18:00 UTC SUPERVALU INC SVU · Entity 162831 Exercise / conversionRestricted Stock Units · Derivative 9,319 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000095521-18-000038 · edgardoc.xml · derivative · entry 4

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,088

Underlying: Common Stock · 9,319 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each stock unit represents a contingent right to receive one share of SUPERVALU common stock.

F1 · shares: This number reflects a 1 for 7 reverse split of the Company's common stock on August 1, 2017.

F6 · derivative.exercise_date: The units will be converted into shares of SUPERVALU common stock pro rata on the first three anniversaries of the respective grant dates.

F6 · derivative.expiration_date: The units will be converted into shares of SUPERVALU common stock pro rata on the first three anniversaries of the respective grant dates.

F1 · derivative.underlying_shares: This number reflects a 1 for 7 reverse split of the Company's common stock on August 1, 2017.

F1 · balance_after: This number reflects a 1 for 7 reverse split of the Company's common stock on August 1, 2017.

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April 27, 2018 Filed Apr 30, 2018 18:00 UTC SUPERVALU INC SVU · Entity 162831 Tax withholdingCommon Stock 2,852 $17.03 $48,569.56
Disclosure

SEC source: 0000095521-18-000038 · edgardoc.xml · nonDerivative · entry 2

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,467

F3 · kind: Shares withheld upon vesting to satisfy tax withholding obligations.

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April 27, 2018 Filed Apr 30, 2018 18:00 UTC SUPERVALU INC SVU · Entity 162831 Exercise / conversionCommon Stock 9,319 Not disclosed Not disclosed
Disclosure

SEC source: 0000095521-18-000038 · edgardoc.xml · nonDerivative · entry 1

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,319

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: This number reflects a 1 for 7 reverse split of the Company's common stock on August 1, 2017.

F2 · price: Shares of SUPERVALU common stock acquired upon the vesting and conversion of an equal number of restricted stock units.

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April 26, 2018 Filed Apr 30, 2018 18:00 UTC SUPERVALU INC SVU · Entity 162831 GrantPerformance Shares · Derivative 120,992 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000095521-18-000038 · edgardoc.xml · derivative · entry 3

Gross Mark · CIK 0001665838 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,957

Underlying: Common Stock · 120,992 shares

Expires not disclosed

F4 · derivative.exercise_price: Each stock unit represents a contingent right to receive one share of SUPERVALU common stock.

F5 · derivative.exercise_date: The units will be converted into shares of SUPERVALU common stock on the fourth anniversary of the grant date if and to the extent SUPERVALU achieves certain stock price performance levels.

F5 · derivative.expiration_date: The units will be converted into shares of SUPERVALU common stock on the fourth anniversary of the grant date if and to the extent SUPERVALU achieves certain stock price performance levels.

F1 · balance_after: This number reflects a 1 for 7 reverse split of the Company's common stock on August 1, 2017.

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April 27, 2017 Filed Apr 28, 2017 13:59 UTC SUPERVALU INC SVU · Entity 162831 GrantRestricted Stock Units · Derivative 191,847 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000095521-17-000036 · edgardoc.xml · derivative · entry 3

Gross Mark · CIK 0001665838 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,847

Underlying: Common Stock · 191,847 shares

Expires not disclosed

F3 · derivative.exercise_price: Each stock unit represents a contingent right to receive one share of SUPERVALU common stock.

F5 · derivative.exercise_date: The units will be converted into shares of SUPERVALU common stock pro rata on the first three anniversaries of the grant date.

F5 · derivative.expiration_date: The units will be converted into shares of SUPERVALU common stock pro rata on the first three anniversaries of the grant date.

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April 27, 2017 Filed Apr 28, 2017 13:59 UTC SUPERVALU INC SVU · Entity 162831 GrantPerformance Shares · Derivative 251,799 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000095521-17-000036 · edgardoc.xml · derivative · entry 2

Gross Mark · CIK 0001665838 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,756

Underlying: Common Stock · 251,799 shares

Expires not disclosed

F3 · derivative.exercise_price: Each stock unit represents a contingent right to receive one share of SUPERVALU common stock.

F4 · derivative.exercise_date: The units will be converted into shares of SUPERVALU common stock on the third anniversary of the grant date if SUPERVALU achieves a certain total shareholder return goal.

F4 · derivative.expiration_date: The units will be converted into shares of SUPERVALU common stock on the third anniversary of the grant date if SUPERVALU achieves a certain total shareholder return goal.

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April 27, 2017 Filed Apr 28, 2017 13:59 UTC SUPERVALU INC SVU · Entity 162831 GrantNon-Qualified Stock Option (right to buy) · Derivative 251,319 $0.00 Strike: $4.17 $0.00
Disclosure

SEC source: 0000095521-17-000036 · edgardoc.xml · derivative · entry 1

Gross Mark · CIK 0001665838 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,319

Underlying: Common Stock · 251,319 shares

Expires 2027-04-27

F1 · security: Grant to reporting person of option to purchase shares of common stock under Supervalu's 2012 Stock Plan (which includes tax withholding rights) in transaction exempt under Rule 16b-3.

F2 · derivative.exercise_date: Vesting occurs and the option becomes exercisable as to 34% of the shares on the first anniversary, 33% of the shares on the second anniversary and 33% of the shares on the third anniversary of the grant date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.