SEC Form 5 · accession 0001020859-15-000022
UNITED NATURAL FOODS INC · UNFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Spinner
Officer — President and CEO · Director
Period of report
Aug 2, 2014
Accepted (ET)
Jan 15, 2015 · 5:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001020859
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 21, 2012 | G | 1,416 | $0.00 | D | 112,582 | D | |
| Common StockF1,F2 | Dec 21, 2012 | G | 944 | $0.00 | A | 3,703 | I | See footnote |
| Common StockF3 | Jan 28, 2013 | G | 1,596 | $0.00 | D | 112,582 | D | |
| Common StockF3,F2 | Jan 28, 2013 | G | 1,064 | $0.00 | A | 3,703 | I | See footnote |
| Common StockF4 | Jan 28, 2014 | G | 1,218 | $0.00 | D | 112,582 | D | |
| Common StockF4,F2 | Jan 28, 2014 | G | 812 | $0.00 | A | 3,703 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On December 21, 2012, Mr. Spinner gifted 472 shares to each of his three daughters. These gifts were not timely reported due to an inadvertent oversight of the reporting person. Two of the reporting person's daughters shared the reporting person's household and/or were financially dependent on the reporting person at the time of the gift and therefore the reporting person acquired an indirect beneficial ownership of the 944 shares gifted to such daughters as of the date of the gift; provided, however, that only one of the reporting person's daughters shared the reporting person's household and/or was financially dependent on the reporting person as of the end of the issuer's fiscal year. While all shares indirectly acquired by the reporting person as of the date of the gift are being reported in column 4, only the 3,110 shares owned by the one financially dependent daughter as of the end of the issuer's fiscal year are being reported as indirectly owned in column 5.
- F2Includes 593 shares of common stock allocated to the reporting person under the United Natural Foods, Inc. Employee Stock Ownership Plan as well as 3,110 shares held by a financially dependent daughter of the reporting person as of August 2, 2014. Mr. Spinner no longer has a reportable beneficial interest in 3,310 shares of common stock owned by two daughters of the reporting person that no longer share the reporting person's household and are no longer financially dependent on the reporting person (including 1,410 shares of common stock reported as being indirectly acquired by the reporting person in this report) that were included in the reporting person's most recently filed Form 4 filed on January 9, 2015.
- F3On January 28, 2013, Mr. Spinner gifted 532 shares to each of his three daughters. These gifts were not timely reported due to an inadvertent oversight of the reporting person. Two of the reporting person's daughters shared the reporting person's household and/or were financially dependent on the reporting person at the time of the gift and therefore the reporting person acquired an indirect beneficial ownership of the 1,064 shares gifted to such daughters as of the date of the gift; provided, however, that only one of the reporting person's daughters shared the reporting person's household and/or was financially dependent on the reporting person as of the end of the issuer's fiscal year. While all shares indirectly acquired by the reporting person as of the date of the gift are being reported in column 4, only the 3,110 shares owned by the one financially dependent daughter as of the end of the issuer's fiscal year are being reported as indirectly owned in column 5.
- F4On January 28, 2014, Mr. Spinner gifted 406 shares to each of his three daughters. These gifts were not timely reported due to an inadvertent oversight of the reporting person. Two of the reporting person's daughters shared the reporting person's household and/or were financially dependent on the reporting person at the time of the gift and therefore the reporting person acquired an indirect beneficial ownership of the 812 shares gifted to such daughters as of the date of the gift; provided, however, that only one of the reporting person's daughters shared the reporting person's household and/or was financially dependent on the reporting person as of the end of the issuer's fiscal year. While all shares indirectly acquired by the reporting person as of the date of the gift are being reported in column 4, only the 3,110 shares owned by the one financially dependent daughter as of the end of the issuer's fiscal year are being reported as indirectly owned in column 5.