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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 | ||||||||
Restricted Stock Units (DU003833) | $ 0 | 02/12/2008 | M | 4,000 | 02/12/2008(2) | 02/12/2017 | Common Stock | 4,000 | $ 0 | 16,000 | D | ||||
Restricted Stock Units(DV005220) | $ 0 | 02/12/2008 | M | 1,878 | 02/12/2008(2) | 02/12/2017 | Common Stock | 1,878 | $ 0 | 7,512 | D | ||||
Restricted Stock Units | $ 0 | 01/15/2009(2) | 01/15/2018 | Common Stock | 40,000 | 40,000 | D | ||||||||
Non-Qualified Stock Option (right to buy - DF003753) | $ 25.8454 | 10/11/2006(3) | 10/11/2015 | Common Stock | 245,000 | 245,000 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV003475) | $ 25.8454 | 10/11/2006(3) | 10/11/2015 | Common Stock | 115,028 | 115,028 | D | ||||||||
Non-Qualified Stock Option (right to buy - DF005350) | $ 30.1121 | 02/12/2008(4) | 02/12/2017 | Common Stock | 93,223 | 93,223 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV003477) | $ 30.1121 | 02/12/2008(4) | 02/12/2017 | Common Stock | 43,768 | 43,768 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 25.37 | 01/15/2009(4) | 01/15/2018 | Common Stock | 140,000 | 140,000 | D | ||||||||
Incentive Stock Option (right to buy -- DF005339) | $ 30.1121 | 02/12/2008(4) | 02/12/2017 | Common Stock | 6,777 | 6,777 | D | ||||||||
Incentive Stock Option (right to buy - DV003476) | $ 30.1121 | 02/12/2008(4) | 02/12/2017 | Common Stock | 3,182 | 3,182 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCALZO JOSEPH 2515 MCKINNEY AVENUE SUITE 1200 DALLAS,, TX 75201 |
President-White Wave Foods Co. |
Joseph Scalzo | 02/12/2008 | |
**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 was entitled to receive a total of 5,878 shares of common stock of the Issuer pursuant to the vesting provisions in the 2007 Award of Deferred Stock Units ("DSUs"). A total of 2,061 shares were surrendered to satisfy tax obligations of the reporting person, resulting in the issuance of a total of 3,817 net shares of common stock. |
(2) | The reporting person has received an award of Restricted Stock Units ("RSUs") which is a right to receive shares of common stock of the Issuer in the future, subject to the terms and conditions of the RSU Award Agreement. The RSUs vest annually, on a prorata basis, over a five-year period beginning on the first anniversary date of the grant. |
(3) | The options vest in three equal installments beginning on the first anniversary of the date of the grant and were issued without stockholder approval, as an "inducement grant", as such term is defined by the New York Stock Exchange. |
(4) | The shares of common stock subject to the Option shall vest ratably in three equal increments commencing on the first anniversary of the grant date. |