SEC Form 4 · accession 0001209191-18-045372
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Bernard
Officer — SVP, Chief Information Officer
Period of report
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 5:56 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 1, 2018 | M | 2,101 | $0.00 | A | 2,101 | D | |
| Common StockF1 | Aug 1, 2018 | F | 512 | $9.56 | D | 1,589 | 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 | Aug 1, 2018 | M | 2,101 | D | — | — | Common Stock | 2,101 | 4,202 | D |
Explanation of responses
- F1The Reporting Person received a total of 2,101 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units (RSUs). A total of 512 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 1,589 net shares of Common Stock.
- F2These RSUs were awarded on 8/1/2017. 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.