-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QzmaKQILXMWYwV89ZP4sDRWP92QLupBsQXGDRKJpZ9CjdcrwImh4h5G7P1Btf1PQ T6X+XiJAhfvpWvAskB6tFw== 0001037489-97-000002.txt : 19970812 0001037489-97-000002.hdr.sgml : 19970812 ACCESSION NUMBER: 0001037489-97-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970731 FILED AS OF DATE: 19970811 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DEAN FOODS CO CENTRAL INDEX KEY: 0000027500 STANDARD INDUSTRIAL CLASSIFICATION: DAIRY PRODUCTS [2020] IRS NUMBER: 360984820 STATE OF INCORPORATION: DE FISCAL YEAR END: 0527 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08262 FILM NUMBER: 97655121 BUSINESS ADDRESS: STREET 1: 3600 N RIVER RD CITY: FRANKLIN PARK STATE: IL ZIP: 60131 BUSINESS PHONE: 7086781680 MAIL ADDRESS: STREET 1: 3600 N RIVER RD CITY: FRANKLIN PARK STATE: IL ZIP: 60131 COMPANY DATA: COMPANY CONFORMED NAME: ROSE THOMAS L CENTRAL INDEX KEY: 0001037489 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 3600 N RIVER RD CITY: FRANKLIN PK STATE: IL ZIP: 60131 BUSINESS PHONE: 8476781680 MAIL ADDRESS: STREET 2: 3600 N RIVER RD CITY: FRANKLIN PK STATE: IL ZIP: 60131 4 1 FORM 4 - 07/31/97 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person ROSE, THOMAS L. DEAN FOODS COMPANY 555 COLMAN CENTER DRIVE ROCKFORD, IL 61125 2. Issuer Name and Ticker or Trading Symbol DEAN FOODS COMPANY DF 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year 07/31/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) PRESIDENT & COO 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| DEAN FOODS COMPANY COMMON S|7/3/97|M | |10,000 |A |26.87 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/3/97|S | |10,000 |D |42.75 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/8/97|M | |3594 |A |29.87 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/8/97|S | |3594 |D |43.75 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/9/97|M | |7624 |A |29.87 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/9/97|S | |7624 |D |43.375 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/9/97|M | |16,467 |A |28.13 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/9/97|S | |16,467 |D |43.375 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/1/97|M | |1371 |A |26.87 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/1/97|S | |1371 |D |40.375 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/2/97|M | |5000 |A |26.87 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/2/97|S | |5000 |D |42.8125 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/7/97|M | |1000 |A |26.87 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/7/97|S | |1000 |D |43.125 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/8/97|M | |1406 |A |26.87 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/8/97|S | |1406 |D |43.75 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/1/97|M | |9929 |A |27.50 | | | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEAN FOODS COMPANY COMMON S|7/1/97|S | |9929 |D |40.375 |22,113 |D | | TOCK | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |18,812 |I |SPOUSE | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| NON-QUALIFIED STOCK OP|26.87 |7/3/9|C,M | |4611 |D | | |COMMON STOCK|4611 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|29.87 |7/8/9|C,M | |3594 |D | | |COMMON STOCK|3594 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|29.87 |7/9/9|C,M | |534 |D | | |COMMON STOCK|534 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|28.13 |7/9/9|C,M | |7001 |D | | |COMMON STOCK|7001 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|26.87 |7/1/9|M | |1371 |D | | |COMMON STOCK|1371 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|26.87 |7/2/9|M | |5000 |D | | |COMMON STOCK|5000 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|26.87 |7/3/9|M | |5389 |D | | |COMMON STOCK|5389 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|26.87 |7/7/9|M | |1000 |D | | |COMMON STOCK|1000 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|26.87 |7/8/9|M | |1406 |D | | |COMMON STOCK|1406 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|29.87 |7/9/9|M | |7090 |D | | |COMMON STOCK|7090 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|28.13 |7/9/9|M | |9466 |D | | |COMMON STOCK|9466 | | | | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| NON-QUALIFIED STOCK OP|27.50 |7/1/9|M | |9929 |D | | |COMMON STOCK|9929 | |32,932 |D | | TION | |7 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: SIGNATURE OF REPORTING PERSON THOMAS L. ROSE DATE 08/10/97 -----END PRIVACY-ENHANCED MESSAGE-----