SEC Form 4 · accession 0001209191-16-099548
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Muse
Director
Period of report
Feb 13, 2016
Accepted (ET)
Feb 17, 2016 · 7:57 pm 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 | Feb 13, 2016 | M | 2,827 | $0.00 | A | 225,047 | D | |
| Common StockF2 | Feb 15, 2016 | M | 2,597 | $0.00 | A | 227,644 | D | |
| Common StockF3 | Feb 16, 2016 | M | 2,134 | $0.00 | A | 229,778 | D | |
| Common StockF4 | holding | — | — | — | 1,275 | I | By Spouse |
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 (DU005780)F5,F1,F6 | $0.00 | Feb 13, 2016 | M | 2,827 | D | Feb 13, 2015 | Feb 13, 2024 | Common Stock | 2,827 | 2,827 | D |
| Restricted Stock Units (DU705745)F5,F2,F6 | $0.00 | Feb 15, 2016 | M | 2,597 | D | Feb 15, 2014 | Feb 15, 2023 | Common Stock | 2,597 | 0 | D |
| Restricted Stock Units (DU005838)F5,F3,F6 | $0.00 | Feb 16, 2016 | M | 2,134 | D | Feb 16, 2016 | Feb 16, 2025 | Common Stock | 2,134 | 4,269 | D |
Explanation of responses
- F1The Reporting Person received a total of 2,827 of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units (RSUs).
- F2The Reporting Person received a total of 2,597 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of RSUs.
- F3The Reporting Person received a total of 2,134 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of RSUs.
- F4The reporting person disclaims beneficial ownership of all shares not directly owned by him.
- F5The 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.
- F6This RSU award vests annually, on a pro rata basis, over a 3-year period beginning on the first anniversary of the grant date.