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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 12.55 | 04/10/2007 | M | 1,500 | 12/03/2006 | 12/03/2012 | Common Stock | 1,500 | $ 12.55 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 18.655 | 04/10/2007 | M | 2,500 | 12/03/2006 | 12/03/2013 | Common Stock | 2,500 | $ 18.655 | 2,500 | D | ||||
Employee Stock Option (right to buy) | $ 10.23 | 04/10/2007 | M | 2,500 | 06/07/2006 | 06/07/2012 | Common Stock | 2,500 | $ 10.23 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DZIKI THOMAS A 260 LAKE ROAD PO BOX 999 DAYVILLE, CT 06241 |
VP Sustainable Development |
Lisa N'Chonon | 04/11/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents (i) 2,700 shares of restricted common stock vesting in three equal installments beginning on December 8, 2007, (ii) 3,600 shares of restricted common stock vesting in four equal installments beginning on December 7, 2007 and (iii) 4,616 represents shares of common stock owned by Mr. Dziki. |
(2) | Includes (i) 1,029 shares of common stock allocated to Mr. Dziki under the United Natural Foods, Inc. Employee Stock Ownership Plan as of April 10, 2007 and (ii) 781 shares of common stock allocated to Mr. Dziki under the United Natural Foods, Inc. 401(k) plan's UNFI Stock Fund as of April 10, 2007. The price is based on the closing price of UNFI common stock on The Nasdaq National Market on April 10, 2007. |