SEC Form 4 · accession 0001209191-18-014642
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 26, 2018
Accepted (ET)
Feb 28, 2018 · 6:06 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 26, 2018 | M | 3,974 | $0.00 | A | 9,665 | D | |
| Common StockF1 | Feb 26, 2018 | F | 932 | $8.81 | D | 8,733 | 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 26, 2018 | M | 3,974 | D | — | — | Common Stock | 3,974 | 3,975 | D |
Explanation of responses
- F1The Reporting Person received a total of 3,974 shares of Common Stock of the Issuer pursuant to the vesting of restricted stock units (RSUs). A total of 932 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 3,042 net shares of Common Stock.
- F2RSUs convert into common stock on a one-for-one basis.
- F3These RSUs were awarded on 2/26/2016. The award vests annually, on a pro rata basis, over a 3-year period.