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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 | ||||||||
Incentive Stock Option (right to buy DF703024) | $ 15.5 (2) | 01/06/2014 | M | 1,465 | 01/13/2005(3) | 01/13/2014 | Common Stock | 1,465 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy DF703025) | $ 15.5 (2) | 01/06/2014 | M | 15,352 | 01/13/2005(3) | 01/13/2014 | Common Stock | 15,352 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy TF700173) | $ 15.5 (2) | 01/06/2014 | M | 2,240 | 01/13/2005(3) | 01/13/2014 | Common Stock | 2,240 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy TF700174) | $ 15.5 (2) | 01/06/2014 | M | 227 | 01/13/2005(3) | 01/13/2014 | Common Stock | 227 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy TF700972) | $ 15.5 (2) | 01/06/2014 | M | 2,828 | 01/13/2005(3) | 01/13/2014 | Common Stock | 2,828 | $ 0 | 0 | D | ||||
Incentive Stock Option (Right to Buy TF701766) | $ 15.5 (2) | 01/06/2014 | M | 455 | 01/13/2005(3) | 01/13/2014 | Common Stock | 455 | $ 0 | 0 | D | ||||
Incentive Stock Option (Right to Buy VF700807) | $ 15.5 (2) | 01/06/2014 | M | 688 | 01/13/2005(3) | 01/13/2014 | Common Stock | 688 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy VF700810) | $ 15.5 (2) | 01/06/2014 | M | 1,052 | 01/13/2005(3) | 01/13/2014 | Common Stock | 1,052 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy VF700814) | $ 15.5 (2) | 01/06/2014 | M | 7,207 | 01/13/2005(3) | 01/13/2014 | Common Stock | 7,207 | $ 0 | 0 | D | ||||
Incentive Stock Option (Right to Buy VF700823) | $ 15.5 (2) | 01/06/2014 | M | 213 | 01/13/2005(3) | 01/13/2014 | Common Stock | 213 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy VF700825) | $ 15.5 (2) | 01/06/2014 | M | 1,328 | 01/13/2005(3) | 01/13/2014 | Common Stock | 1,328 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy VF700828) | $ 15.5 (2) | 01/06/2014 | M | 106 | 01/13/2005(3) | 01/13/2014 | Common Stock | 106 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Devine Martin J 2711 NORTH HASKELL AVENUE SUITE 3400 DALLAS, TX 75204 |
Executive Vice President |
Kay F. Stockler, Attorney-In-Fact | 01/08/2014 | |
**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 exercised options totalling 33,161 shares of Common Stock of the Issuer. A total of 30,381shares were surrendered to satisfy the exercise price of such options and taxes associated with such exercise, resulting in the issuance of a total of 2,780 net shares of Common Stock. |
(2) | These option awards 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 May 23, 2013 and (b) to reflect the reverse stock split on August 26, 2013. |
(3) | The shares of Common Stock subject to the Option vested annually, on a pro rata basis, over a three year period beginning on the first anniversary of the grant date, subject to the terms and conditions of the award agreement. |