SEC Form 4 · accession 0001209191-17-003683
WHITEWAVE FOODS Co · WWAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregg L Engles
Officer — Chairman and CEO · Director
Period of report
Jan 11, 2017
Accepted (ET)
Jan 13, 2017 · 4:40 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 stock | Jan 11, 2017 | M | 312,293 | $27.69 | A | 2,467,066 | D | |
| common stockF1 | Jan 11, 2017 | F | 226,138 | $55.50 | D | 2,240,928 | D | |
| common stockF2 | Sep 30, 2016 | G | 1,227,000 | $0.00 | D | 1,013,928 | D | |
| common stockF3 | Dec 14, 2016 | G | 370,983 | $0.00 | D | 642,945 | D | |
| common stock | Sep 30, 2016 | G | 1,227,000 | $0.00 | A | 1,227,000 | I | By family limited partnership II |
| common stock | holding | — | — | — | 278,660 | I | By family limited partnership I |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| non-qualified stock option (right to buy) | $27.69 | Jan 11, 2017 | M | 312,293 | D | May 23, 2013 | Feb 12, 2017 | common stock | 312,293 | 0 | D |
Explanation of responses
- F1Represents shares of common stock withheld by WhiteWave to satisfy the reporting person's obligations for the exercise price and taxes incurred upon his exercise of stock options.
- F2Represents a gift of WhiteWave common stock made by the reporting person to a family limited partnership. The reporting person, as the sole owner and manager of the general partner of the family limited partnership, has the right to make investment and voting decisions relating to the shares owned by the family limited partnership. The reporting person disclaims beneficial ownership of shares owned by the family limited partnership except to the extent of his pecuniary interest in such shares.
- F3Represents a gift of WhiteWave common stock made by the reporting person to a trust for the benefit of the reporting person's children. The reporting person is not a trustee of the trust and disclaims beneficial ownership of all shares owned by the trust.