SEC Form 4 · accession 0001140361-15-002054
Diamond Foods Inc · DMND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Zollars
Director
Period of report
Jan 14, 2015
Accepted (ET)
Jan 16, 2015 · 6:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001320947
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 14, 2015 | A | 1,735 | — | A | 11,129 | I | By ZoCo L.P. (Family Partnership) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents an award of restricted stock units that generally vests as to 25% of the total number of shares in four quarterly installments commencing on April 14, 2015, such that the award will fully vest on January 14, 2016 or the next annual meeting of stockholders, if within one month earlier.
- F2Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. Vested shares of the Issuer's common stock will be delivered to the Reporting Person within 30 days following the earlier of (i) the first business day on or following the third anniversary of the date of grant, (ii) the first business day on or following the Reporting Person's termination of services or (iii) a Change of Control event under Treasury Regulation 1.409A-3(i)(5)(v)-(vii). The Reporting Person may elect to defer delivery of vested shares to a date within 30 days following the earlier of (i) the first business day on or following the Reporting Person's termination date or (ii) a Change of Control event under Treasury Regulation 1.409A-3(i)(5)(v)-(vii).