SEC Form 4 · accession 0001209191-17-025255
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Wayne Mailloux
Director
Period of report
Mar 31, 2017
Accepted (ET)
Apr 4, 2017 · 6:35 pm EDT
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 | Mar 31, 2017 | A | 2,310 | $0.00 | A | 104,450 | D | |
| Common StockF3 | Apr 3, 2017 | S | 3,033 | $19.704 | D | 101,417 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These are shares of restricted stock issued in lieu of payment of the cash compensation owed to the Reporting Person for services as a non-employee director. These restricted shares vest in three equal increments, with the first vesting occurring as of the date the shares were issued and then annually thereafter. Voting and dividend rights attach immediately on the entire number of shares issued.
- F2Sale is pursuant to a 10b5-1 trading plan dated February 27, 2017, between the Reporting Person and UBS Financial Services Inc., acting as agent, to permit the orderly disposition of a portion of the Reporting Person's holdings of the Issuer's common stock, par value $0.01 per share.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.51 to $19.86, inclusive. The Reporting Person undertakes to provide to Issuer, any security holder of Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.