FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/20/2010 |
3. Issuer Name and Ticker or Trading Symbol
UNITED NATURAL FOODS INC [ UNFI ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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 | 2,362 | D | |
Common Stock | 463 | I | See footnote(13) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
Employee Stock Option (right to buy) | 09/01/2010(1) | 09/01/2016 | Common Stock | 750 | $29.09 | D | |
Employee Stock Option (right to buy) | 12/07/2010(2) | 12/07/2016 | Common Stock | 1,000 | $36.6 | D | |
Employee Stock Option (right to buy) | 12/06/2011(3) | 12/06/2017 | Common Stock | 750 | $28.32 | D | |
Restricted Stock Unit | 12/06/2011(4) | 12/06/2011(4) | Common Stock | 900 | $0.00 | D | |
Employee Stock Option (right to buy) | 09/16/2012(5) | 09/16/2018 | Common Stock | 1,688 | $24.54 | D | |
Restricted Stock Unit | 09/16/2012(6) | 09/16/2012(6) | Common Stock | 1,350 | $0.00 | D | |
Employee Stock Option (right to buy) | 06/03/2013(7) | 06/03/2019 | Common Stock | 3,000 | $26.55 | D | |
Restricted Stock Unit | 06/03/2013(8) | 06/03/2013(8) | Common Stock | 3,600 | $0.00 | D | |
Employee Stock Option (right to buy) | 09/11/2013(9) | 09/11/2019 | Common Stock | 7,755 | $24.3 | D | |
Restricted Stock Unit | 09/11/2013(10) | 09/11/2013(10) | Common Stock | 7,677 | $0.00 | D | |
Employee Stock Option (right to buy) | 09/10/2014(11) | 09/10/2020 | Common Stock | 5,500 | $33.9 | D | |
Restricted Stock Unit | 09/10/2014(12) | 09/10/2014(12) | Common Stock | 7,340 | $0.00 | D |
Explanation of Responses: |
1. The last of four equal annual installments of employee stock options vested on September 1, 2010. The exercise price is the closing price on the date of the grant, September 1, 2006. |
2. Of the 1,000 employee stock options outstanding, 750 are vested as of December 7, 2009. The final 250 shares will vest on December 7, 2010. The exercise price is the closing price on the date of the grant, December 7, 2006. |
3. The remaining employee stock options vest in two equal annual installments beginning on December 6, 2010. The exercise price is the closing price on the date of the grant, December 6, 2007. |
4. The restricted stock units vest in two equal annual installments beginning on December 6, 2010. |
5. Of the 1,688 employee stock options outstanding, 563 are vested as of September 16, 2010. The remaining 1,125 employee stock options will vest in two equal annual installments beginning on September 16, 2011. The exercise price is the closing price on the date of the grant, September 16, 2008. |
6. The restricted stock units vest in two equal annual installments beginning on September 16, 2011. |
7. The remaining employee stock options vest in three equal annual installments beginning on June 3, 2011. The exercise price is the closing price on the date of the grant, June 3, 2009. |
8. The restricted stock units vest in three equal annual installments beginning on June 3, 2011. |
9. Of the 7,755 employee stock options outstanding, 1,938 are vested as of September 11, 2010. The remaining 5,817 employee stock options will vest in three equal annual installments beginning on September 11, 2011. The exercise price is the closing price on the date of the grant, September 11, 2009. |
10. The restricted stock units vest in three equal annual installments beginning on September 11, 2011. |
11. The employee stock options vest in four equal annual installments beginning on September 10, 2011. The exercise price is the closing price on the date of the grant, September 10, 2010. |
12. The restricted stock units vest in four equal annual installments beginning on September 10, 2011. |
13. Represents 463 shares of common stock allocated to the reporting person under the United Natural Foods, Inc. Employee Stock Ownership Plan as of September 28, 2010. |
Remarks: |
Lisa N'Chonon (Power of Attorney, in fact) | 09/28/2010 | |
** 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 5 (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 Number. |