SEC Form 4 · accession 0001209191-19-016998
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
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 6:37 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 | Mar 1, 2019 | M | 6,169 | $0.00 | A | 7,777 | D | |
| Common StockF2 | Mar 1, 2019 | M | 12,528 | $0.00 | A | 20,305 | D | |
| Common StockF1,F2 | Mar 1, 2019 | F | 5,545 | $3.93 | D | 14,760 | 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 UnitsF3,F4,F1 | $0.00 | Mar 1, 2019 | M | 6,169 | D | — | — | Common Stock | 6,169 | 12,339 | D |
| Restricted Stock UnitsF3,F4,F2 | $0.00 | Mar 1, 2019 | M | 12,528 | D | — | — | Common Stock | 12,528 | 25,057 | D |
Explanation of responses
- F1The Reporting Person received a total of 6,169 shares of Common Stock of the Issuer pursuant to the vesting of restricted stock units (RSUs). A total of 1,830 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 4,339 net shares of Common Stock.
- F2The Reporting Person received a total of 12,528 shares of Common Stock of the Issuer pursuant to the vesting of restricted stock units (RSUs). A total of 3,715 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 8,813 net shares of Common Stock.
- F3These RSUs were awarded on 3/1/2018. The award vests annually, on a pro rata basis, over a 3-year period.
- F4RSUs convert into common stock on a one-for-one basis.