SEC Form 4 · accession 0001209191-17-049043
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kimberly Warmbier
Officer — EVP, Chief HR Officer
Period of report
Aug 13, 2017
Accepted (ET)
Aug 15, 2017 · 5:45 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 | Aug 13, 2017 | M | 7,906 | $0.00 | A | 64,167 | D | |
| Common StockF1 | Aug 13, 2017 | F | 2,163 | $12.24 | D | 62,004 | 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 (DU005784)F2,F3,F1 | $0.00 | Aug 13, 2017 | M | 7,906 | D | — | — | Common Stock | 7,906 | 0 | D |
Explanation of responses
- F1The Reporting Person received a total of 7,906 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units ("RSUs"). A total of 2,163 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 5,743 net shares of Common Stock.
- F2RSUs convert into common stock on a one-for-one basis.
- F3These RSUs were awarded on 8/13/2014. The award vests annually, on a pro rata basis, over a 3-year period.