SEC Form 4 · accession 0001209191-16-099308
WHITEWAVE FOODS Co · WWAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph S Hardin Jr.
Director
Period of report
Feb 15, 2016
Accepted (ET)
Feb 17, 2016 · 4:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001555365
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Feb 15, 2016 | M | 1,234 | $0.00 | A | 211,295 | D | |
| Common stockF1 | Feb 15, 2016 | M | 2,444 | $0.00 | A | 213,739 | D | |
| Common stockF2 | holding | — | — | — | 3,452 | I | By trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit | $0.00 | Feb 15, 2016 | M | 1,234 | D | Feb 15, 2016 | Feb 15, 2016 | Common stock | 1,234 | 0 | D |
| Restricted Stock Unit | $0.00 | Feb 15, 2016 | M | 2,444 | D | Feb 15, 2016 | Feb 15, 2016 | Common stock | 2,444 | 0 | D |
| Restricted Stock UnitF3 | $0.00 | Feb 15, 2016 | A | 6,858 | A | Feb 15, 2017 | Feb 15, 2017 | Common stock | 6,858 | 6,858 | D |
| Non Qualified Stock Option (right to buy)F4 | $36.09 | Feb 15, 2016 | A | 5,376 | A | Feb 15, 2017 | Feb 15, 2026 | Common stock | 5,376 | 5,376 | D |
Explanation of responses
- F1The reporting person received shares of WhiteWave common stock upon the vesting of a restricted stock unit ("RSU").
- F2Shares held by a trust of which the reporting person's sister is the beneficiary. The reporting person is the trustee and disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the trust, if any.
- F3The RSU vests in full on the one year anniversary of the grant date, subject to the reporting person's continued service on the WhiteWave Board of Directors. The RSU will settle in shares of WhiteWave's common stock on a one-for-one basis.
- F4The option vests in full and is fully exercisable on the one year anniversary of the grant date, subject to the reporting person's continued service on the WhiteWave Board of Directors.