SEC Form 4 · accession 0001209191-19-002914
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott K Vopni
Officer — SVP, Finance & CAO
Period of report
Jan 5, 2019
Accepted (ET)
Jan 8, 2019 · 7:35 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 | Jan 5, 2019 | M | 11,655 | $0.00 | A | 54,718 | D | |
| Common StockF1 | Jan 5, 2019 | F | 3,456 | $4.42 | D | 51,262 | 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 | Jan 5, 2019 | M | 11,655 | D | — | — | Common Stock | 11,655 | 23,310 | D |
Explanation of responses
- F1The Reporting Person received a total of 11,655 shares of Common Stock of the Issuer pursuant to the vesting of restricted stock units (RSUs). A total of 3,456 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 8,199 net shares of Common Stock.
- F2RSUs convert into common stock on a one-for-one basis.
- F3These RSUs were awarded on 01/05/2018. The award vests annually, on a pro rata basis, over a 3-year period.