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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 NF702883) | $ 7.83 (4) | 05/30/2013 | M | 8,663 (4) | 06/30/2003(5) | 06/30/2013 | Common Stock | 8,663 (4) | $ 0 | 0 | I | Spouse | |||
Non-Qualified Stock Option (right to buy TF701025) | $ 7.83 (4) | 05/30/2013 | M | 1,596 (4) | 06/30/2003(5) | 06/30/2013 | Common Stock | 1,596 (4) | $ 0 | 0 | I | Spouse | |||
Non-Qualified Stock Option (right to buy VF703992) | $ 7.83 (4) | 05/30/2013 | M | 748 (4) | 06/30/2003(5) | 06/30/2013 | Common Stock | 748 (4) | $ 0 | 0 | I | Spouse | |||
Non-Qualified Stock Option (right to buy VF703993) | $ 7.83 (4) | 05/30/2013 | M | 4,068 (4) | 06/30/2003(5) | 06/30/2013 | Common Stock | 4,068 (4) | $ 0 | 0 | I | Spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TURNER JIM L JLT BEVERAGES L.P. 5950 SHERRY LANE STE 370 DALLAS, TX 75225 |
X |
Carman M. Callahan, Attorney-In-Fact | 06/03/2013 | |
**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's spouse exercised options totalling 15,075 shares of Common Stock of the Issuer A total of 11,300 shares were surrendered to satisfy the exercise price of such options associated with such exercise, resulting in the issuance of a total of 3,775 net shares of Common Stock. |
(2) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.5600 to $10.5700, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. |
(3) | The reporting person disclaims beneficial ownership of all shares not directly owned by him. |
(4) | Due to the spin-off of a portion of the Issuer's ownership interest in The WhiteWave Foods Company on May 23, 2013, the reporting person's number of options and exercise price has been adjusted to preserve the pre-spin intrinsic value of the award. |
(5) | The options are fully vested and immediately exercisable upon grant. |