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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 | ||||||||
Stock option (right to buy) | $ 9.04 | 11/21/2011 | A | V | 100,000 | (8) | 11/21/2021 | Common Stock | 100,000 | $ 0 (2) | 316,667 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tesoriero Joseph S. C/O DOLE FOOD COMPANY, INC. ONE DOLE DRIVE WESTLAKE VILLAGE, CA 91362 |
EVP & CFO |
/s/ Jeffrey Conner, attorney-in-fact | 11/23/2011 | |
**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) | These shares of restricted stock vest in full on 11/21/2014. |
(2) | Granted as compensation for services. |
(3) | These 2,000 shares were purchased on 11/23/2011 at an average price of $8.205 per share in the following transactions: 100 shares in one transaction at $8.16 per share; 600 shares in four transactions at $8.17 per share; 134 shares in two transactions at $8.21 per share; 434 shares in four transactions at $8.22 per share; and 732 shares in six transactions at $8.23 per share. |
(4) | Of these shares: (a) 16,667 are restricted and vest in full on 11/21/2014; (b) 16,667 are restricted and vest in full on 11/29/2013; and (c) 27,778 are restricted and vest in full on 10/28/2012. |
(5) | As UGMA Custodian for eldest son's custodial account. |
(6) | As UGMA Custodian for middle son's custodial account. |
(7) | As UGMA Custodian for youngest son's custodial account. |
(8) | The stock options vest in three equal annual installments commencing on 11/21/2014. |