UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 or 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported): October 12, 2006
DIAMOND FOODS, INC.
(Exact Name of Registrant as Specified in Charter)
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| Delaware | | 000-51439 | | 20-2556965 |
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(State or Other Jurisdiction
of Incorporation) | | (Commission
File Number) | | (IRS Employer
Identification No.) |
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1050 S. Diamond Street
Stockton, California | |
95205 |
| | | |
| (Address of Principal Executive Offices) | | (Zip Code) |
Registrant’s telephone number, including area code:(209) 467-6000
N/A
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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| o | | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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| o | | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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| o | | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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| o | | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 8.01. Other Events
On October 12, 2006, Seth Halio, Executive Vice President and Chief Financial Officer of Diamond Foods, Inc. (the “Company”), adopted a Rule 10b5-1 trading plan (the “Plan”) with a broker to purchase shares of Company common stock in the open market. Mr. Halio entered into the Plan in order to facilitate the orderly acquisition of Company common stock.
Pursuant to the Plan, the brokerage firm, on behalf of Mr. Halio, will purchase Company common stock in the open market in the first quarter of calendar 2007 time frame, subject to market conditions. The plan may be terminated or amended prior to expiration, and is not the exclusive manner by which Mr. Halio may acquire Company shares. Any transactions under the Plan will be reported by Mr. Halio through individual Form 4 filings with the Securities and Exchange Commission. The Plan is intended to comply with Rule 10b5-1 of the Securities Exchange Act of 1934 and the Company’s insider trading policy.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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| | DIAMOND FOODS, INC.
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| Date: October 12, 2006 | By: | /s/ Seth Halio | |
| | | Name: | Seth Halio | |
| | | Title: | Executive Vice President, Chief
Financial Officer | |
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