Clifford Braun Form 3 TreeHouse Foods / Clifford Braun ownership change

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^*

Braun Clifford

(Last)

(First)

(Middle)

2021 SPRING RD

SUITE 600

(Street)

OAK BROOK

60523

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/11/2019

3. Issuer Name and Ticker or Trading Symbol
TreeHouse Foods, Inc. [ THS ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP, Chief Operations Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Non-Qualified Stock Option (Right to Buy)	⁽¹⁾	⁽¹⁾	Common Stock	4,700	79.36	D
Non-Qualified Stock Option (Right to Buy)	⁽²⁾	⁽²⁾	Common Stock	7,870	84.66	D
Non-Qualified Stock Option (Right to Buy)	⁽³⁾	⁽³⁾	Common Stock	7,680	98.28	D
Restricted Stock Unit	⁽⁴⁾	⁽⁴⁾	Common Stock	477	⁽⁵⁾	D
Restricted Stock Unit	⁽⁶⁾	⁽⁶⁾	Common Stock	523	⁽⁵⁾	D
Restricted Stock Unit	⁽⁷⁾	⁽⁷⁾	Common Stock	9,890	⁽⁵⁾	D
Restricted Stock Unit	⁽⁸⁾	⁽⁸⁾	Common Stock	1,193	⁽⁵⁾	D
Restricted Stock Unit	⁽⁹⁾	⁽⁹⁾	Common Stock	7,140	⁽⁵⁾	D

Explanation of Responses:

1. The stock options have a ten-year term and will vest in three approximately equal installments on each of the first three anniversaries of the grant date (January 29, 2016).

2. The stock options have a ten-year term and will vest in three approximately equal installments on each of the first three anniversaries of the grant date (March 31, 2017).

3. The stock options have a ten-year term and will vest in three approximately equal installments on each of the first three anniversaries of the grant date (June 27, 2016).

4. The restricted stock units vest and settle in stock or cash in three approximately equal installments on each of the first three anniversaries of the grant date (January 29, 2016).

5. Each restricted stock unit represents a contingent right to receive one share of common stock of TreeHouse Foods, Inc.

6. The restricted stock units vest and settle in stock or cash in three approximately equal installments on each of the first three anniversaries of the grant date (June 27, 2016).

7. The restricted stock units vest and settle in stock or cash as follows: 3,956 units on January 31, 2019 and 5,934 units on August 31, 2020.

8. The restricted stock units vest and settle in stock or cash in three approximately equal installments on each of the first three anniversaries of the grant date (March 31, 2017).

9. The restricted stock units vest and settle in stock or cash in three approximately equal installments on each of the first three anniversaries of the grant date (March 29, 2018).

Remarks:

	Thomas E. O'Neill, by power of attorney	01/22/2019
	** 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.

Clifford Braun Form 3TreeHouse Foods / Clifford Braun ownership change