SEC Form 4 · accession 0001140361-15-045405
Diamond Foods Inc · DMND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda B Segre
Officer — EVP, Chief Strat. & People Ofc
Period of report
Dec 19, 2015
Accepted (ET)
Dec 22, 2015 · 7:11 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 | Dec 19, 2015 | F | 481 | — | A | 41,890 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Exempt transaction pursuant to Section 16b-3(e) - Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.
- F2This number includes 940 shares that were erroneously reported as withheld for taxes on a Form 4 previously filed by the Reporting Person on August 7, 2013.