SEC Form 4 · accession 0001209191-17-056684
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott K Vopni
Officer — Interim CFO,SVP, Finance & CAO
Period of report
Oct 9, 2017
Accepted (ET)
Oct 11, 2017 · 6:15 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 | Oct 9, 2017 | M | 9,107 | $0.00 | A | 35,346 | D | |
| Common StockF1 | Oct 9, 2017 | F | 2,491 | $10.78 | D | 32,855 | 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 (DU005787)F2,F3,F1 | $0.00 | Oct 9, 2017 | M | 9,107 | D | — | — | Common Stock | 9,107 | 0 | D |
Explanation of responses
- F1The Reporting Person received a total of 9,107 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units ("RSUs"). A total of 2,491 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 6,616 net shares of Common Stock.
- F2RSUs convert into common stock on a one-for-one basis.
- F3These RSUs were awarded 10/9/2014. The award vests annually, on a pro rata basis, over a 3-year period.