4 1 d98255e4.txt FORM 4 -------------------------------------------------------------------------------- SEC 1474 POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTIONS OF INFORMATION (02-02) CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. -------------------------------------------------------------------------------- ------ -------------------------- FORM 4 OMB APPROVAL ------ -------------------------- [ ] CHECK THIS BOX IF NO OMB Number: 3235-0287 LONGER SUBJECT TO Expires: January 31, 2005 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 Dean Foods Company (DF) 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 June 2002 ---- title --- below) --------------------------------------------- (voluntary) ------------------- below) (Street) 5. If Amendment, CHAIRMAN OF THE BOARD AND Dallas, Texas 75201 Date of Original CHIEF EXECUTIVE OFFICER --------------------------------------------- -------------------- (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 06/11/02 J 500,000 D D (1) (1) (1) (1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/11/02 J 200,000 D 1,056,812 D (2) (2) (2) (2) (3) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
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 $17.6875 01/29/09 Common 16,800 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option $21.5625 01/22/11 Common 9,316 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option $30.5250 01/14/12 Common 3,276 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $6.1600 01/01/06 Common 9,200 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $10.1250 01/01/07 Common 106,000 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $14.6250 05/13/07 Common 600,000 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $17.1250 06/04/09 Common 114,000 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $17.6875 01/29/09 Common 163,200 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $18.7188 01/04/10 Common 330,000 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $21.5625 01/22/11 Common 390,684 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ 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) ------------------------------------------------------------------------------------------------------- 16,800 D ------------------------------------------------------------------------------------------------------- 9,316 D ------------------------------------------------------------------------------------------------------- 3,276 D ------------------------------------------------------------------------------------------------------- 9,200 D ------------------------------------------------------------------------------------------------------- 106,000 D ------------------------------------------------------------------------------------------------------- 600,000 D ------------------------------------------------------------------------------------------------------- 114,000 D ------------------------------------------------------------------------------------------------------- 163,200 D ------------------------------------------------------------------------------------------------------- 330,000 D ------------------------------------------------------------------------------------------------------- 390,684 D ------------------------------------------------------------------------------------------------------- Explanation of Responses: See continuation page(s) for footnotes ------------------------------- -------------- **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 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). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.
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 ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $29.2500 01/02/08 Common 240,000 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $30.5250 01/14/12 Common 696,724 (right to buy) Stock ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ 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) ------------------------------------------------------------------------------------------------------- 240,000 D ------------------------------------------------------------------------------------------------------- 696,724 D ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- Explanation of Responses: FN #1 On June 11, 2002, Mr. Engles entered into a forward sale agreement relating to 500,000 shares of the Issuer's common stock. The economic terms of the agreement are: Floor price: $38.115 Cap price: $48.1744 Execution price: $38.1157 Prepayment amount: $17,152,050 Prepayment date: June 17, 2002 Pricing dates: June 9, 2003 (250,000 shares) and June 17, 2003 (250,000 shares) FN #2 On June 11, 2002, Mr. Engles entered into a second forward sale agreement relating to another 200,000 shares of the Issuer's common stock. The economic terms of the agreement are: Floor price: $37.5263 Cap price: $47.4332 Initial share price: $37.5263 Upfront proceeds: $6,754,734 Expiration date: June 16, 2003 FN #3 In June 2002, Mr. Engles transferred 200,000 shares to his former wife as part of his divorce settlement, in a transaction exempt from Section 16. /s/ GREGG L. ENGLES 7/10/02 ------------------------------- -------------- **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 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). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.