Statement of Changes in Beneficial Ownership (4)
May 29 2014 - 11:18AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Rogoff Joseph
|
2. Issuer Name
and
Ticker or Trading Symbol
WHOLE FOODS MARKET INC
[
WFM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Regional President
|
(Last)
(First)
(Middle)
550 BOWIE STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/27/2014
|
(Street)
AUSTIN, TX 78703
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
5/27/2014
|
|
M
|
|
68
|
A
|
$20.42
|
4853
|
D
|
|
Common Stock
|
5/27/2014
|
|
S
|
|
68
|
D
|
$38.17
|
4785
|
D
|
|
Common Stock
|
5/27/2014
|
|
M
|
|
2000
|
A
|
$20.42
|
6785
|
D
|
|
Common Stock
|
5/27/2014
|
|
S
|
|
2000
|
D
|
$38.165
(1)
|
4785
|
D
|
|
Common Stock
|
5/27/2014
|
|
M
|
|
72
|
A
|
$31.25
|
4857
|
D
|
|
Common Stock
|
5/27/2014
|
|
S
|
|
72
|
D
|
$38.20
|
4785
|
D
|
|
Common Stock
|
5/27/2014
|
|
M
|
|
6000
|
A
|
$31.25
|
10785
|
D
|
|
Common Stock
|
5/27/2014
|
|
S
|
|
6000
|
D
|
$38.20
|
4785
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Non-Qualified Stock Option (right to buy)
|
$20.42
(2)
|
5/27/2014
|
|
M
|
|
|
68
(2)
|
(3)
|
5/14/2017
|
Common Stock
|
68.0
(2)
|
$0
|
0
|
D
|
|
Non-Qualified Stock Option (right to buy)
|
$20.42
(2)
|
5/27/2014
|
|
M
|
|
|
2000
(2)
|
(4)
|
5/14/2017
|
Common Stock
|
2000.0
(2)
|
$0
|
0
|
D
|
|
Non-Qualified Stock Option (right to buy)
|
$31.25
(2)
|
5/27/2014
|
|
M
|
|
|
72
(2)
|
(5)
|
5/13/2018
|
Common Stock
|
72.0
(2)
|
$0
|
72
|
D
|
|
Non-Qualified Stock Option (right to buy)
|
$31.25
(2)
|
5/27/2014
|
|
M
|
|
|
6000
(2)
|
(6)
|
5/13/2018
|
Common Stock
|
6000.0
(2)
|
$0
|
6000
|
D
|
|
Explanation of Responses:
|
(
1)
|
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.16 to $38.18, inclusive. The reporting person undertakes to provide to any security holder or to the SEC, upon request, full information regarding the number of shares sold at each separate price within the range stated.
|
(
2)
|
The exercise price and number of shares subject to the option give effect to the 2-for-1 split of the common stock of Whole Foods Market, Inc. that occurred on May 29, 2013.
|
(
3)
|
The option, representing a right to purchase a total of 274 shares, is exercisable in four equal annual installments beginning on May 14, 2011, which was the first anniversary of the date on which the option was granted.
|
(
4)
|
The option, representing a right to purchase a total of 8,000 shares, is exercisable in four equal annual installments beginning on May 14, 2011, which was the first anniversary of the date on which the option was granted.
|
(
5)
|
The option, representing a right to purchase a total of 292 shares, is exercisable in four equal annual installments beginning on May 13, 2012, which was the first anniversary of the date on which the option was granted.
|
(
6)
|
The option, representing a right to purchase a total of 24,000 shares, is exercisable in four equal annual installments beginning on May 13, 2012, which was the first anniversary of the date on which the option was granted.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Rogoff Joseph
550 BOWIE STREET
AUSTIN, TX 78703
|
|
|
Regional President
|
|
Signatures
|
/s/ Albert Percival as Attorney-in-Fact for Joseph Rogoff
|
|
5/29/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Whole Foods Market, Inc. (NASDAQ:WFM)
Historical Stock Chart
From Aug 2024 to Sep 2024
Whole Foods Market, Inc. (NASDAQ:WFM)
Historical Stock Chart
From Sep 2023 to Sep 2024