SEC Form 4 · accession 0001547137-15-000023
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Tennant Wiseman
Director
Period of report
Feb 13, 2015
Accepted (ET)
Feb 18, 2015 · 6:30 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 | Feb 13, 2015 | M | 2,827 | $0.00 | A | 18,629 | D | |
| Common StockF1 | Feb 13, 2015 | F | 849 | $16.19 | D | 17,780 | D | |
| Common StockF2 | Feb 15, 2015 | M | 2,597 | $0.00 | A | 20,377 | D | |
| Common StockF2 | Feb 15, 2015 | F | 780 | $16.19 | D | 19,597 | 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 (DU005783)F1,F3 | $0.00 | Feb 13, 2015 | M | 2,827 | D | Feb 13, 2015 | Feb 13, 2024 | Common Stock | 2,827 | 5,654 | D |
| Restricted Stock Units (DU705748)F2,F3 | $0.00 | Feb 15, 2015 | M | 2,597 | D | Feb 15, 2014 | Feb 15, 2023 | Common Stock | 2,597 | 2,597 | D |
| Restricted Stock UnitsF3 | $0.00 | Feb 16, 2015 | A | 6,043 | A | Feb 16, 2016 | Feb 16, 2025 | Common Stock | 6,043 | 6,043 | D |
Explanation of responses
- F1The reporting person received a total of 2,827 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units. A total of 849 shares were surrendered to satisfy tax obligations of the reporting person, resulting in the issuance of a total of 1,978 net shares of Common Stock.
- F2The reporting person received a total of 2,597 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units. A total of 780 shares were surrendered to satisfy tax obligations of the reporting person, resulting in the issuance of a total of 1,817 net shares of Common Stock.
- F3The reporting person has received an award of restricted stock units, which is the right to receive shares of Common Stock of the Issuer in the future, subject to the terms and conditions of the award agreement. The units vest annually, on a pro rata basis, over a three year period beginning on the first anniversary of the grant date, subject to certain accelerated vesting provisions.