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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 | ||||||||
Restricted Stock Unit | (2) | 09/10/2010 | A | 10,710 | (3) | (3) | Common Stock | 10,710 | $ 0 | 10,710 | D | ||||
Employee Stock Option (right to buy) | $ 33.9 (4) | 09/10/2010 | A | 8,030 | (5) | 09/10/2020 | Common Stock | 8,030 | $ 0 | 8,030 | D | ||||
Restricted Stock Unit | (2) | 09/11/2010 | M | 1,547 | (3) | (3) | Common Stock | 1,547 | $ 0 | 10,832 | D | ||||
Restricted Stock Unit | (2) | 09/11/2010 | D | 1,547 | (3) | (3) | Common Stock | 1,547 | $ 0 | 9,285 | D | ||||
Phantom Stock | (7) | 09/11/2010 | A | 1,547 | (7) | (7) | Common Stock | 1,547 | $ 0 | 6,497 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shamber Mark 313 IRON HORSE WAY PROVIDENCE, RI 02908 |
SVP, Chief Financial Officer |
Lisa N'Chonon, Power-of-Attorney, in fact | 09/14/2010 | |
**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) | Includes 1,748 shares of common stock allocated to the reporting person under the United Natural Foods, Inc. Employee Stock Ownership Plan and 1,672 shares of common stock allocated to the reporting person under the United Natural Foods, Inc. 401(k) Plan's UNFI Stock Fund as of September 14, 2010. |
(2) | Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. |
(3) | The restricted stock units vest in four equal annual installments beginning on the first anniversary of the date of grant. |
(4) | United Natural Foods, Inc.'s closing price on the NASDAQ National Market on September 10, 2010. |
(5) | The stock options vest and becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant. |
(6) | On September 11, 2010, 3,094 shares of United Natural Foods, Inc. (the "Company") restricted stock units vested, of which 1,547 were deferred to the United Natural Foods, Inc. Deferred Compensation Plan. The Company retained 574 shares on September 11, 2010 to satisfy certain tax withholding obligations in connection with the vesting of such shares. |
(7) | The security converts to common stock on a one-for-one basis subject to the terms of the United Natural Foods, Inc. Deferred Compensation Plan. |