Initial Statement of Beneficial Ownership (3)
November 13 2019 - 6:11PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KOLLOCK KEVIN J |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/4/2019
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3. Issuer Name and Ticker or Trading Symbol
DEAN FOODS CO [DF]
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(Last)
(First)
(Middle)
2711 NORTH HASKELL AVENUE, SUITE 3400 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP and GM Frozen / |
(Street)
DALLAS, TX 75204
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (1)(2) | (3) | (3) | Common Stock | 200000 | $0.00 | D | |
Explanation of Responses: |
(1) | The Reporting Person received an award of restricted stock units (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. |
(2) | RSUs convert into common stock on a one-for-one basis. |
(3) | This award was made on 10/01/2019. It vests annually, on a pro rata basis, over a 3-year period. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KOLLOCK KEVIN J 2711 NORTH HASKELL AVENUE, SUITE 3400 DALLAS, TX 75204 |
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| SVP and GM Frozen |
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Signatures
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Kay F. Stockler, as Attorney-in-Fact | | 11/13/2019 |
**Signature of Reporting Person | Date |
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