SEC Form 4 · accession 0001209191-17-029302
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt W Laufer
Officer — SVP, Chief Customer Officer
Period of report
May 1, 2017
Accepted (ET)
May 2, 2017 · 5:42 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 | May 1, 2017 | M | 5,184 | $0.00 | A | 6,748 | D | |
| Common StockF1 | May 1, 2017 | F | 1,418 | $19.64 | D | 5,330 | 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 (DU005877)F2,F3,F1 | $0.00 | May 1, 2017 | M | 5,184 | D | — | — | Common Stock | 5,184 | 10,368 | D |
Explanation of responses
- F1The Reporting Person received a total of 5,184 shares of Common Stock of the Issuer pursuant to the vesting of restricted stock units (RSUs). A total of 1,418 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 3,766 net shares of Common Stock.
- F2RSUs convert into common stock on a one-for-one basis.
- F3These RSUs were awarded on 05/01/2016. The award vests annually, on a pro rata basis, over a 3-year period.