-----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, UyzwzOgFZ5ThG/ETKZLRMbPW5me3xLjkCNyhdY1fwgsHhMmF5bzrbTBXfLNCem6c GKRjrfUmVJ6UCxjUl81fhw== 0001179307-07-000016.txt : 20070109 0001179307-07-000016.hdr.sgml : 20070109 20070109173023 ACCESSION NUMBER: 0001179307-07-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070107 FILED AS OF DATE: 20070109 DATE AS OF CHANGE: 20070109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DEAN FOODS CO CENTRAL INDEX KEY: 0000931336 STANDARD INDUSTRIAL CLASSIFICATION: ICE CREAM & FROZEN DESSERTS [2024] IRS NUMBER: 752559681 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2515 MCKINNEY AVENUE LB 30 STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2143033400 MAIL ADDRESS: STREET 1: 2515 MCKINNEY AVENUE LB 30 STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: DEAN FOODS CO/ DATE OF NAME CHANGE: 20011221 FORMER COMPANY: FORMER CONFORMED NAME: SUIZA FOODS CORP DATE OF NAME CHANGE: 19941013 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLEIN RONALD H CENTRAL INDEX KEY: 0001237284 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12755 FILM NUMBER: 07521323 BUSINESS ADDRESS: STREET 1: DEAN FOODS STREET 2: 2515 MCKINNEY AVENUE STE 1200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-303-3400 MAIL ADDRESS: STREET 1: DEAN FOODS COMPANY STREET 2: 2515 MCKINNEY AVENUE, SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-01-07 0000931336 DEAN FOODS CO DF 0001237284 KLEIN RONALD H 2515 MCKINNEY AVENUE, SUITE 1200 DALLAS TX 75201 0 1 0 0 Senior Vice President -- Common Stock 2007-01-07 4 M 0 2100 0 A 22070.291 D Common Stock 2007-01-07 4 F 0 686 41.26 D 21384.291 D Common Stock 2007-01-07 4 M 0 387 0 A 21771.291 D Common Stock 2007-01-07 4 F 0 119 41.26 D 21652.291 D Restricted Stock Units-DF902030 0 2007-01-07 4 M 0 2100 0 D 2006-01-07 2015-02-07 Common Stock 2100 6300 D Restricted Stock Units-TU905739 0 2007-01-07 4 M 0 387 0 D 2006-01-07 2015-02-07 Common Stock 387 1161 D Restricted Stock Units-(DU003754) 0 2007-01-13 2016-01-13 Common Stock 10000 10000 D Incentive Stock Option (right to buy-T0000510) 12.1383 2002-01-22 2011-01-22 Common Stock 6954 6954 D Incentive Stock Option (right to buy-T0000847) 12.1383 2002-01-22 2011-01-22 Common Stock 1281 1281 D Incentive Stock Option (right to buy-DF001606) 17.1835 2003-01-14 2012-01-14 Common Stock 4914 4914 D Non-Qualified Stock Option (right to buy-DF001359) 17.1835 2003-01-14 2012-01-14 Common Stock 30000 30000 D Incentive Stock Option (right to buy-T0000942) 17.1835 2003-01-14 2012-01-14 Common Stock 905 905 D Non-Qualified Stock Option (right to buy-T0000598) 17.1835 2003-01-14 2012-01-14 Common Stock 7387 7387 D Non-Qualified Stock Option (right to buy-T0000669) 17.1835 2003-01-14 2012-01-14 Common Stock 5528 5528 D Incentive Stock Option (right to buy-DF002209) 20.9355 2004-01-06 2013-01-06 Common Stock 4032 4032 D Incentive Stock Option (right to buy-T0001044) 20.9355 2004-01-06 2013-01-06 Common Stock 743 743 D Non-Qualified Stock Option (right to buy-DF002210) 20.9355 2004-01-06 2013-01-06 Common Stock 33468 33468 D Non-Qualified Stock Option (right to buy-T0000659) 20.9355 2004-01-06 2013-01-06 Common Stock 6167 6167 D Incentive Stock Option (right to buy-DF003314) 26.3199 2005-01-13 2014-01-13 Common Stock 1268 1268 D Non-Qualified Stock Option (right to buy-TU000267) 26.3199 2005-01-13 2014-01-13 Common Stock 1941 1941 D Incentive Stock Option (right to buy-T0001765) 26.3199 2005-01-13 2014-01-13 Common Stock 395 395 D Non-Qualified Stock Option (right to buy-TU000269) 26.3199 2005-01-13 2014-01-13 Common Stock 196 196 D Non-Qualified Stock Option (right to buy-DF003315) 26.3199 2005-01-13 2014-01-13 Common Stock 29791 29791 D Non-Qualified Stock Option (right to buy-T0000740) 26.3199 2005-01-13 2014-01-13 Common Stock 5489 5489 D Incentive Stock Option (right to buy-DF902122) 26.8941 2006-01-07 2015-01-07 Common Stock 5232 5232 D Incentive Stock Option (right to buy-T0001363) 26.8941 2006-01-07 2015-01-07 Common Stock 643 643 D Non-Qualified Stock Option (right to buy-DF902123) 26.8941 2006-01-10 2015-01-10 Common Stock 23368 23368 D Non-Qualified Stock Option (right to buy-TU000268) 26.8941 2006-01-07 2015-01-07 Common Stock 321 321 D Non-Qualified Stock Option (right to buy-T0000798) 26.8941 2006-01-10 2015-01-10 Common Stock 4306 4306 D Incentive Stock Option (right to buy-DF004892) 37.74 2007-01-13 2016-01-13 Common Stock 2878 2878 D Non-Qualified Stock Option (right to buy-DF004893) 37.74 2007-01-13 2016-01-13 Common Stock 42122 42122 D The reporting person was entitled to receive a total of 2,100 shares of common stock of the Issuer pursuant to the vesting provisions in the 2005 Award of Deferred Stock Units ("DSUs"). A total of 686 shares were surrendered to satisfy tax obligations of the reporting person, resulting in the issuance of a total of 1,414 net shares of common stock. The reporting person was entitled to receive a total of 387 shares of common stock of the Issuer pursuant to the vesting provisions in the 2005 Award of Deferred Stock Units ("DSUs"). A total of 119 shares were surrendered to satisfy tax obligations of the reporting person, resulting in the issuance of a total of 268 net shares of common stock. The reporting person has received an award of Stock Units ("SUs") under the Company's 1989 Stock Awards Plan which is a right to receive shares of common stock of the Issuer in the future, subject to the terms and conditions of the SU Award Agreement. The SUs vest annually, on a prorata basis, over a five-year period beginning on the first anniversary of the date of grant, subject to certain accelerated vesting provisions. 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. Ronald H. Klein 2007-01-09 -----END PRIVACY-ENHANCED MESSAGE-----