SEC Form 4 · accession 0001209191-17-011234
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S. Craig McCutcheon
Officer — SVP, Logistics
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 6:52 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, 2017 | M | 2,088 | $0.00 | A | 2,088 | D | |
| Common StockF1 | Feb 13, 2017 | D | 2,088 | $20.68 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Award (DP001528)F1,F2 | $0.00 | Feb 13, 2017 | M | 2,088 | D | — | — | Common Stock | 2,088 | 0 | D |
Explanation of responses
- F1Each unit of phantom stock is the economic equivalent of one share of Common Stock of the Issuer. Vesting of the award is subject to the terms and conditions of the award agreement. At settlement, the Reporting Person received the cash value of the unit.
- F2This award was made on 2/13/2014. The award vests annually, on a pro rata basis, over a 3-year period.