SEC Form 4 · accession 0001209191-15-080427
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kimberly Warmbier
Officer — EVP, Chief HR Officer
Period of report
Nov 15, 2015
Accepted (ET)
Nov 17, 2015 · 9:08 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000931336
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 15, 2015 | M | 1,154 | $0.00 | A | 27,038 | D | |
| Common StockF1 | Nov 15, 2015 | F | 316 | $18.49 | D | 26,772 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (DU705718)F2,F1,F3 | $0.00 | Nov 15, 2015 | M | 1,154 | D | Nov 15, 2013 | Nov 15, 2022 | Common Stock | 1,154 | 0 | D |
Explanation of responses
- F1The Reporting Person received a total of 1,154 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units. A total of 316 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 838 net shares of Common Stock.
- F2The Reporting Person previously received an award of RSUs, which represents the right to receive shares of Common Stock of the Issuer in the future, subject to the terms and conditions of the related award agreement.
- F3This RSU award vests annually, on a pro rata basis, over a 3-year period.