SEC Form 4 · accession 0001209191-17-015489
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
B Craig Owens
Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 7:15 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 26, 2017 | M | 2,073 | $0.00 | A | 11,685 | 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 UnitsF2,F3,F4 | $0.00 | Feb 24, 2017 | A | 6,504 | A | — | — | Common Stock | 6,504 | 6,504 | D |
| Restricted Stock Unit (DU005853)F3,F5,F1 | $0.00 | Feb 26, 2017 | M | 2,073 | D | — | — | Common Stock | 2,073 | 4,148 | D |
Explanation of responses
- F1The Reporting Person received a total of 2,073 shares of Common Stock of the Issuer pursuant to the vesting of restricted stock units (RSUs).
- F2The Reporting Person 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.
- F3RSUs convert into common stock on a one-for-one basis.
- F4This RSU award vests annually, on a pro rata basis, over a 3-year period.
- F5These RSUs were awarded on 2/26/2016. The award vests annually, on a pro rata basis, over a 3-year period.