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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units (DU005847) (4) | (2) | 12/01/2016 | M | 5,775 (1) | 12/01/2016(4) | 12/01/2025 | Common Stock | 5,775 (1) | $ 0 | 0 | D | ||||
Restricted Stock Units (DU005846) (4) | (2) | 12/01/2016 | M | 17,326 (3) | 12/01/2016(4) | 12/01/2025 | Common Stock | 17,326 (3) | $ 0 | 0 | D | ||||
Restricted Stock Units (DU005879) (5) (6) | (2) | 12/01/2016 | A | 5,775 (5) | 12/01/2017(6) | 12/01/2026 | Common Stock | 5,775 | $ 0 | 5,775 | D | ||||
Restricted Stock Units (DU005880) (6) (7) | (2) | 12/01/2016 | A | 28,878 (7) | 12/01/2017(6) | 12/01/2026 | Common Stock | 28,878 | $ 0 | 28,878 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tanner Gregg A 2711 NORTH HASKELL AVENUE SUITE 3400 DALLAS, TX 75204 |
X | Chief Executive Officer |
Kay F. Stockler, Attorney-in-Fact | 12/02/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Reporting Person received a total of 5,775 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of restricted stock units (RSUs). A total of 2,423 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 3,352 net shares of Common Stock. |
(2) | RSUs convert into common stock on a one-for-one basis. |
(3) | The Reporting Person received a total of 17,326 shares of Common Stock of the Issuer pursuant to the vesting provisions in the award of RSUs. A total of 7,269 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 10,057 shares of Common Stock. |
(4) | On 12/01/2015, the Reporting Person received an award of 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. The RSUs fully vest on the first anniversary of the grant date. |
(5) | This award of RSUs was approved by the Compensation Committee on 11/06/2007. These RSUs have been adjusted (a) to preserve the intrinsic value of awards existing prior to the spin-off of a portion of the Issuer's ownership interest in The WhiteWave Foods Company on 05/23/2013, and (b) to reflect the reverse stock split on 08/26/2013. |
(6) | On 12/01/2016, the Reporting Person received an award of 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. The RSUs fully vest on the first anniversary of the grant date. |
(7) | This award of RSUs was approved by the Compensation Committee on 10/06/2010. These RSUs have been adjusted (a) to preserve the intrinsic value of awards existing prior to the spin-off of a portion of the Issuer's ownership interest in The WhiteWave Foods Company on 05/23/2013, and (b) to reflect the reverse stock split on 08/26/2013. |