-----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, V1HIY6zjq9LMB03fG8duMyK0QzmZe6wn/FnbqC4i4g0YPCd0sxeBRPaNvW4r2nym dRjh1E6wcFuUq8clOFfibg== 0001179307-07-000089.txt : 20071002 0001179307-07-000089.hdr.sgml : 20071002 20071002132026 ACCESSION NUMBER: 0001179307-07-000089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070928 FILED AS OF DATE: 20071002 DATE AS OF CHANGE: 20071002 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: HARDIN JOSEPH S JR CENTRAL INDEX KEY: 0001136264 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12755 FILM NUMBER: 071148696 BUSINESS ADDRESS: STREET 1: 2515 MCKINNEY AVE STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-303-3400 MAIL ADDRESS: STREET 1: 820 PICACHO LANE CITY: SANTA BARBARA STATE: CA ZIP: 93108 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-09-28 0000931336 DEAN FOODS CO DF 0001136264 HARDIN JOSEPH S JR 820 PICACHO LANE SANTA BARBARA CA 93108 1 0 0 0 Common Stock 2007-09-28 4 A 0 2003 0 A 64202 D Common Stock 3550 I by Trusts. Non-Qualified Stock Option (right to buy-SI000775) 11.2299 1998-06-30 2008-06-30 Common Stock 22500 22500 D Non-Qualified Stock Option (right to buy-DV001539) 11.2299 1998-06-30 2008-06-30 Common Stock 10564 10564 D Non-Qualified Stock Option (right to buy-T0000724) 11.2299 1998-06-30 2008-06-30 Common Stock 4146 4146 D Non-Qualified Stock Option (right to buy-DV001551) 11.2299 1998-06-30 2008-06-30 Common Stock 1947 1947 D Non-Qualified Stock Option (right to buy-TO000564) 8.0206 1999-06-30 2009-06-30 Common Stock 9500 9500 D Non-Qualified Stock Option (right to buy-DV001548) 8.0206 1999-06-30 2009-06-30 Common Stock 4460 4460 D Non-Qualified Stock Option (right to buy-TO000733) 8.0206 1999-06-30 2009-06-30 Common Stock 1751 1751 D Non-Qualified Stock Option (right to buy-DV001552) 8.0206 1999-06-30 2009-06-30 Common Stock 822 822 D Non-Qualified Stock Option (right to buy-SI001802) 9.3614 2000-06-30 2010-06-30 Common Stock 22500 22500 D Non-Qualified Stock Option (right to buy-DV001542) 9.3614 2000-06-30 2010-06-30 Common Stock 10564 10564 D Non-Qualified Stock Option (right to buy-T0000637) 9.3614 2000-06-30 2010-06-30 Common Stock 4146 4146 D Non-Qualified Stock Option (right to buy-DV001544) 9.3614 2000-06-30 2010-06-30 Common Stock 1947 1947 D Non-Qualified Stock Option (right to buy-SF002504) 10.1707 2001-06-29 2011-06-29 Common Stock 22500 22500 D Non-Qualified Stock Option (right to buy-DV001541) 10.1707 2001-06-29 2011-06-29 Common Stock 10564 10564 D Non-Qualified Stock Option (right to buy-T0000642) 10.1707 2001-06-29 2011-06-29 Common Stock 4146 4146 D Non-Qualified Stock Option (right to buy-DV001553) 10.1707 2001-06-29 2010-06-29 Common Stock 1947 1947 D Non-Qualified Stock Option (right to buy-DF002167) 14.2351 2002-07-01 2012-07-01 Common Stock 22500 22500 D Non-Qualified Stock Option (right to buy-DV001545) 14.2351 2002-07-01 2012-07-01 Common Stock 10564 10564 D Non-Qualified Stock Option (right to buy-T0000649) 14.2351 2002-07-01 2012-07-01 Common Stock 4146 4146 D Non-Qualified Stock Option (right to buy-DV001543) 14.2341 2002-07-01 2012-07-01 Common Stock 1947 1947 D Non-Qualified Stock Option (right to buy-DF002877) 18.1003 2003-06-30 2013-06-30 Common Stock 7500 7500 D Non-Qualified Stock Option (right to buy-DV001546) 18.1003 2003-06-30 2013-06-30 Common Stock 3521 3521 D Non-Qualified Stock Option (right to buy-T0000778) 18.1003 2003-06-30 2013-06-30 Common Stock 1382 1382 D Non-Qualified Stock Option (right to buy-DV001550 18.1003 2003-06-30 2013-06-30 Common Stock 649 649 D Non-Qualified Stock Option (right to buy-DF003665) 21.4389 2004-06-30 2014-06-30 Common Stock 7500 7500 D Non-Qualified Stock Option (right to buy-DV001538) 21.4389 2004-06-30 2014-06-30 Common Stock 3521 3521 D Non-Qualified Stock Option (right to buy-T0000788) 21.4389 2004-06-30 2014-06-30 Common Stock 1382 1382 D Non-Qualified Stock Option (right to buy-DV001549) 21.4389 2004-06-30 2014-06-30 Common Stock 649 649 D Non-Qualified Stock Option (right to buy-DF905919) 23.9808 2005-06-30 2015-06-30 Common Stock 7500 7500 D Non-Qualified Stock Option (right to buy-DV001540) 23.9808 2005-06-30 2015-06-30 Common Stock 3521 3521 D These are restricted shares issued under the Issuer's 2007 Stock Incentive Plan in payment of fees owed for services as an independent director. All such shares are subject to vesting in three increments, with the first vesting occurring as of the date the shares were issued. Includes 8,876 shares of common stock from DSUs that have vested, and the reporting person has elected to defer receipt until he is no longer a member of the Issuer's Board of Directors. The reporting person is the trustee and disclaims all beneficial interest except to the extent of his pecuniary interest in the trusts, if any. The reporting person's sister and the reporting person's children are the beneficiaries of the trusts. The options were granted automatically under the Issuer's 1997 Amended and Restated Stock Option and Restricted Stock Plan, and are fully vested and immediately exercisable upon grant. FIRST OF TWO (2) FORM 4s FILED ON SAME DATE. Joseph S. Hardin, Jr. 2007-10-02 -----END PRIVACY-ENHANCED MESSAGE-----