SEC Form 4 · accession 0001209191-19-018264
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brad Cashaw
Officer — EVP, Supply Chain
Period of report
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 6:23 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 6, 2019 | F | 1,143 | $3.13 | D | 38,281 | 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,F4 | $0.00 | Mar 6, 2019 | A | 91,853 | A | — | — | Common Stock | 91,853 | 91,853 | D |
Explanation of responses
- F1Shares were surrendered to satisfy tax obligations of the Reporting Person in connection with the time-based vesting of his 2016 Performance Stock Unit award.
- F2The Reporting Person received an award of restricted stock units (RSUs), which represents the right to receive shares of Common Stock of the Issuer in the future, subject to the terms and conditions of the related award agreement.
- F3RSUs convert into common stock on a one-for-one basis.
- F4This RSU award vests annually, on a pro rata basis, over a 3-year period.