SEC Form 4 · accession 0001611851-15-000067
WHITEWAVE FOODS Co · WWAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregg L Engles
Officer — Chairman of the Board and · Director
Period of report
Oct 25, 2015
Accepted (ET)
Oct 27, 2015 · 4:32 pm EDT
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 | Oct 25, 2015 | M | 93,333 | $0.00 | A | 2,220,363 | D | |
| Common StockF1 | Oct 25, 2015 | F | 43,475 | $40.75 | D | 2,176,888 | D | |
| Common StockF2 | holding | — | — | — | 278,660 | I | By Family Limited Partnership |
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 | Oct 25, 2015 | M | 93,333 | D | Oct 25, 2015 | Oct 25, 2015 | Common stock | 93,333 | 0 | D |
Explanation of responses
- F1The reporting person received 93,333 shares of common stock upon the vesting of a restricted stock unit ("RSU"), of which a total of 43,475 shares of common stock were retained by WhiteWave to satisfy the reporting person's tax obligation upon vesting of the RSU.
- F2The 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 all shares owned by the family limited partnership.