SEC Form 4/A · accession 0001209191-19-013806
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Helen McCluskey
Director
Period of report
Nov 10, 2018
Accepted (ET)
Feb 26, 2019 · 7:18 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 Stock | Nov 10, 2018 | M | 295 | $0.00 | A | 7,199 | 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 (DU005844)F1,F2,F3 | $0.00 | Nov 10, 2018 | M | 295 | A | — | — | Common Stock | 295 | 0 | D |
Explanation of responses
- F1Restricted stock units ("RSUs") convert to common stock on a one-for-one basis.
- F2These RSUs were awarded 11/10/2015. The award vests annually, on a pro rata basis, over a 3-year period.
- F3This amendment is filed solely to correct an error in Table II, column 9 to reflect that the number of derivative securities owned following the reported transaction is zero (0) rather than 295.