SEC Form 4 · accession 0001020859-17-000071
UNITED NATURAL FOODS INC · UNFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Michael Hummel
Officer — President, Central Region
Period of report
Sep 15, 2017
Accepted (ET)
Sep 19, 2017 · 4:17 pm EDT
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 | Sep 15, 2017 | M | 1,043 | $0.00 | A | 2,450 | D | |
| Common Stock | Sep 15, 2017 | F | 368 | $39.74 | D | 2,082 | D | |
| Common StockF1 | Sep 16, 2017 | M | 500 | $0.00 | A | 2,582 | D | |
| Common Stock | Sep 16, 2017 | F | 180 | $39.74 | D | 2,402 | D | |
| Common StockF1 | Sep 17, 2017 | M | 690 | $0.00 | A | 3,092 | D | |
| Common Stock | Sep 17, 2017 | F | 250 | $39.74 | D | 2,842 | D | |
| Common StockF5 | holding | — | — | — | 41 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF6,F7,F8 | — | Sep 15, 2017 | M | 1,043 | D | — | — | Common Stock | 1,043 | 3,127 | D |
| Restricted Stock UnitF9,F7,F8 | — | Sep 15, 2017 | A | 4,150 | A | — | — | Common Stock | 4,150 | 4,150 | D |
| Restricted Stock UnitF10,F7,F8 | — | Sep 16, 2017 | M | 500 | D | — | — | Common Stock | 500 | 0 | D |
| Restricted Stock UnitF11,F7,F8 | — | Sep 17, 2017 | M | 690 | D | — | — | Common Stock | 690 | 1,380 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis. Accordingly, there was no purchase price paid by the reporting person.
- F10Award Date: 9/16/2013
- F11Award Date: 9/17/2015
- F2On September 15, 2017, 1,043 shares of United Natural Foods, Inc. (the "Company") restricted stock units vested. The Company retained 368 shares on that date to satisfy certain tax withholding obligations in connection with the vesting.
- F3On September 16, 2017, 500 shares of United Natural Foods, Inc. (the "Company") restricted stock units vested. The Company retained 180 shares on that date to satisfy certain tax withholding obligations in connection with the vesting.
- F4On September 17, 2016, 690 shares of United Natural Foods, Inc. (the "Company") restricted stock units vested. The Company retained 250 shares on that date to satisfy certain tax withholding obligations in connection with the vesting.
- F5Includes 41 shares of common stock allocated to the reporting person under the United Natural Foods, Inc. 401(k) Plan's UNFI Stock Fund as of September 15, 2017.
- F6Award Date: 9/15/2016
- F7Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.
- F8The restricted stock units vest in four equal annual installments beginning on the first anniversary of the date of grant.
- F9Award Date: 9/15/2017