SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 09/08/2016 | 3. Issuer Name and Ticker or Trading Symbol UNITED NATURAL FOODS INC [ UNFI ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 09/14/2016 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 2,652 | D | |
Common Stock | 168 | I | See Footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (2) | 09/19/2024(2) | Common Stock | 3,790 | 64.55(3) | D | |
Restricted Stock Unit(4) | (5) | (5) | Common Stock | 370 | (6) | D | |
Restricted Stock Unit(7) | (5) | (5) | Common Stock | 652 | (6) | D | |
Restricted Stock Unit(8) | (5) | (5) | Common Stock | 1,185 | (6) | D | |
Restricted Stock Unit(9) | (5) | (5) | Common Stock | 4,510 | (6) | D | |
Restricted Stock Unit(10) | (5) | (5) | Common Stock | 2,347 | (6) | D |
Explanation of Responses: |
1. Includes 168 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 8, 2016. |
2. The stock options vest and becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant and expire on the tenth anniversary of the date of grant. |
3. United Natural Foods, Inc.'s closing price on the NASDAQ National Market on the date of grant. |
4. Award Date: 9/19/2013 |
5. The restricted stock units vest in four equal annual installments beginning on the first anniversary of the date of grant. |
6. 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. |
7. Award Date: 9/13/2012 |
8. Award Date: 9/16/2013 |
9. Award Date: 9/17/2015 |
10. Award Date: 9/19/2014 |
Remarks: |
Shares reported as directly owned in the Form 3 filed on September 14, 2016 were inadvertently misstated. This amended Form 3 correctly states the shares directly owned by the reporting person. |
Lisa N'Chonon, Power of Attorney, in-fact | 09/15/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |