SEC Form 4 · accession 0001209191-18-011685
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jose A Motta
Officer — SVP, Human Resources
Period of report
Feb 16, 2018
Accepted (ET)
Feb 20, 2018 · 8:30 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 16, 2018 | M | 3,914 | $0.00 | A | 3,914 | D | |
| Common StockF1 | Feb 16, 2018 | F | 1,161 | $9.94 | D | 2,753 | 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,F1 | $0.00 | Feb 16, 2018 | M | 3,914 | D | — | — | Common Stock | 3,914 | 0 | D |
Explanation of responses
- F1The Reporting Person received a total of 3,914 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units (RSUs). A total of 1,161 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 2,753 net shares of Common Stock.
- F2These RSUs were awarded on 2/16/2015. The award vests annually, on a pro rata basis, over a 3-year period.
- F3RSUs convert into common stock on a one-for-one basis.