SEC Form 4 · accession 0001588305-15-000045
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott K Vopni
Officer — SVP/CAO & Investor Relations
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 6:04 pm EDT
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 | Jun 1, 2015 | M | 3,133 | $0.00 | A | 27,347 | D | |
| Common StockF1 | Jun 1, 2015 | F | 857 | $18.61 | D | 26,490 | 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 (DU705713)F2,F1,F3 | $0.00 | Jun 1, 2015 | M | 3,133 | D | Jun 1, 2015 | Jun 1, 2022 | Common Stock | 3,133 | 0 | D |
Explanation of responses
- F1The reporting person received a total of 3,133 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units (RSUs). A total of 857 shares were surrendered to satisfy tax obligations of the reporting person, resulting in the issuance of a total of 2,276 net shares of Common Stock.
- F2The reporting person received an award of RSUs, 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.
- F3The RSUs vest annually, on a pro rata basis, over a 3-year period beginning on the first anniversary date of the grant.