4 1 d89767e4.txt FORM 4 - GREGG L ENGLES 1 ------ -------------------------- FORM 4 OMB APPROVAL ------ -------------------------- [ ] CHECK THIS BOX IF NO OMB Number: 3235-0287 LONGER SUBJECT TO Expires: December 31, 2001 SECTION 16. FORM 4 Estimated average burden OR FORM 5 OBLIGATIONS hours per response.... 0.5 MAY CONTINUE. SEE -------------------------- INSTRUCTION 1(b). UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 (Print or Type Responses) ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) ENGLES, GREGG L SUIZA FOODS CORPORATION (SZA) to Issuer (Check all applicable) --------------------------------------------- ---------------------------------------------- X Director 10% Owner (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- --- Number of Reporting Month/Year X Officer (give Other (Specify 2515 MCKINNEY AVENUE, LB 30, SUITE 1200 Person, if an entity JULY 2001 ---- title --- below) --------------------------------------------- (voluntary) ------------------- below) (Street) 5. If Amendment, DALLAS, TEXAS 75201 Date of Original --------------------------------------------- -------------------- (Month/Year) -------------------------------- (City) (State) (Zip) 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. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ ------------------------------------ Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 07/02/01 S 3,500,000 D $53.1786 D ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 07/05/01 S 17,400,000 D $53.1937 D ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 07/06/01 S 9,550,000 D $52.9086 D ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 07/09/01 S 19,550,000 D $53.0624 D ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 07/13/01 J 93,400,000 D $45.2638 D (1) (1) ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 07/20/01 J 106,600,000 D $45.2907 963,228,000 D (1) (1) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Page 1 of 3 pages Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (3-99) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTIONS OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ------------------------------------------ Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option $35.3750 01/29/09 Common Stock 8,400,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option $43.1250 01/22/11 Common Stock 4,658,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $12.3200 01/01/06 Common Stock 4,600,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $20.2500 01/01/07 Common Stock 53,000,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $29.2500 05/13/07 Common Stock 300,000,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $34.2500 06/04/09 Common Stock 57,000,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $35.3750 01/29/09 Common Stock 81,600,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $37.4375 01/04/10 Common Stock 165,000,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $43.1250 01/22/11 Common Stock 195,342,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $58.5000 01/02/08 Common Stock 120,000,000 (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of Derivative Form of Indirect Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------- 8,400,000 D ------------------------------------------------------------------------------------------------------- 4,658,000 D ------------------------------------------------------------------------------------------------------- 4,600,000 D ------------------------------------------------------------------------------------------------------- 53,000,000 D ------------------------------------------------------------------------------------------------------- 300,000,000 D ------------------------------------------------------------------------------------------------------- 57,000,000 D ------------------------------------------------------------------------------------------------------- 81,600,000 D ------------------------------------------------------------------------------------------------------- 165,000,000 D ------------------------------------------------------------------------------------------------------- 195,342,000 D ------------------------------------------------------------------------------------------------------- 120,000,000 D ------------------------------------------------------------------------------------------------------- Explanation of Responses: /s/ LISA N. TYSON 8/9/01 **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. ----------------------------- ---------- See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date By: Lisa N. Tyson For: Gregg L. Engles Note: File three copies of this Form, one of which must be manually signed. Page 2 of 3 pages Page 2 If space is insufficient, see Instruction 6 for procedure. SEC 1474 (3-99) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
3 ENGLES, GREGG L Suiza Foods Corporation (SZA) Page 3 of 3 pages 2515 McKinney Avenue, LB 30, Suite 1200 July 2001 Dallas, Texas 75201
(1) On July 20, 2001, the Reporting Person entered into a forward sale agreement (the "Agreement") relating to 200,000 shares (the "Base Amount") of the Issuer's common stock. The Agreement provides that the Reporting Person will deliver the shares in July 2004. The economic terms of the agreement are: Weekly Base Amount: For the week ended July 13, 2001, 93,400 Shares For the week ended July 20, 2001, 106,000 Shares Weekly Floor Price: For the week ended July 13, 2001, $53.214 For the week ended July 20, 2001, $53.2457 Weekly Cap Price: For the week ended July 13, 2001, $67.582 For the week ended July 20, 2001, $67.6220 Weekly Execution Price: For the week ended July 13, 2001, $53.214 For the week ended July 20, 2001, $53.2457 Prepayment Amount: For the week ended July 13, 2001, $4,227,641.57 [$45.2638 per share] For the week ended July 20, 2001, $4,827,998.47 [$45.2907 per share] Prepayment Date: For the week ended July 13, 2001, July 18, 2001 For the week ended July 20, 2001, July 25, 2001 Pricing Dates: For the week ended July 13, 2001, July 13, 2004 For the week ended July 20, 2001, July 20, 2004