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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 | ||||||||
Non-Qualified Stock Option (right to buy-DF004888) | $ 25.6821 (2) | 01/13/2007(1) | 01/13/2016 | Common Stock | 273,122 | 273,122 | D | ||||||||
Non-Qualified Stock Option (right to buy-DV000251) | $ 25.6821 (2) | 01/13/2007(1) | 01/13/2016 | Common Stock | 128,231 (2) | 128,231 (2) | D | ||||||||
Incentive Stock Option (right to buy-DF004887) | $ 25.6821 (2) | 01/13/2007(1) | 01/13/2016 | Common Stock | 2,832 | 2,832 | D | ||||||||
Incentive Stock Option (right to buy-DV004462 | $ 25.6821 (2) | 01/13/2007(1) | 01/13/2016 | Common Stock | 1,329 (2) | 1,329 (2) | D | ||||||||
Non-Qualified Stock Option (right to buy-DF005345) | $ 30.1121 (2) | 02/12/2008(1) | 02/12/2017 | Common Stock | 47,741 | 47,741 | D | ||||||||
Non-Qualified Stock Option (right to buy-DV000250) | $ 30.1121 (2) | 02/12/2008(1) | 01/12/2017 | Common Stock | 22,414 (2) | 22,414 (2) | D | ||||||||
Incentive Stock Option (right to buy-DF005340) | $ 30.1121 (2) | 02/12/2008(1) | 02/12/2017 | Common Stock | 2,259 | 2,259 | D | ||||||||
Incentive Stock Option (right to buy-DV000263) | $ 30.1121 (2) | 02/12/2008(1) | 02/12/2017 | Common Stock | 1,061 (2) | 1,061 (2) | D | ||||||||
Restricted Stock Units (DU000424) | $ 0 | 09/19/2006(3) | 09/19/2015 | Common Stock | 13,333 | 13,333 | D | ||||||||
Restricted Stock Units (DV005410) | $ 0 | 09/19/2006(3) | 09/19/2015 | Common Stock | 6,260 (4) | 6,260 (2) | D | ||||||||
Restricted Stock Units (DU003750) | $ 0 | 01/13/2007(3) | 01/13/2016 | Common Stock | 50,000 | 50,000 | D | ||||||||
Restricted Stock Units (DV005426) | $ 0 | 01/13/2007(3) | 01/13/2016 | Common Stock | 23,475 (4) | 23,475 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERNON ALAN J 2515 MCKINNEY AVENUE, SUITE 1200 DALLAS, TX 75201 |
X | President - Dean Dairy Group |
Alan J. Bernon | 05/08/2007 | |
**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 shares of common stock subject to the Option vest ratably in three equal increments commencing on the first anniversary of the grant date. |
(2) | Due to a special cash dividend of $15.00, paid by Issuer on April 2, 2007, to shareholders of record on March 27, 2007, the option exercise price and number of shares has been adjusted to maintain the value of the option award, post-dividend. |
(3) | A Restricted Stock Unit, which is issued under the Company's 1989 Stock Awards Plan, is a right to receive one share of common stock of the Issuer in the future, subject to the terms and conditions of the award agreement. The units vest annually, on a prorata basis, over a three-year period beginning on the first anniversary of the date of grant. |
(4) | Due to a special cash dividend of $15.00, paid by Issuer on April 2, 2007, to shareholders of record on March 27, 2007, the number of RSUs has been adjusted to maintain the value of the RSU award, post-dividend. |
Remarks: CONTINUATION OF FORM 4 PREVIOUSLY FILED ON THIS DATE -- NO TRANSACTIONS BEING REPORTED ON THIS SECOND FORM 4. |