SEC Form 4 · accession 0001588305-15-000063
DEAN FOODS CO · DF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kimberly Warmbier
Officer — EVP & Chief HR Officer
Period of report
Aug 13, 2015
Accepted (ET)
Aug 17, 2015 · 5:04 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 | Aug 13, 2015 | M | 7,907 | $0.00 | A | 28,047 | D | |
| Common StockF1 | Aug 13, 2015 | F | 2,163 | $16.69 | D | 25,884 | 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 (DU005784)F2,F1,F3 | $0.00 | Aug 13, 2015 | M | 7,907 | D | Aug 13, 2015 | Aug 13, 2024 | Common Stock | 7,907 | 15,812 | D |
Explanation of responses
- F1The reporting person received a total of 7,907 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units (RSUs). A total of 2,163 shares were surrendered to satisfy tax obligations of the reporting person, resulting in the issuance of a total of 5,744 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 three year period beginning on the first anniversary date of the grant.