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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) | $ 11.32 | 02/21/2013 | A | 26,250 (6) | (7) | 02/21/2023 | Common Stock | 26,250 | $ 0 (2) | 26,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mitchell Keith C. C/O DOLE FOOD COMPANY, INC. ONE DOLE DRIVE WESTLAKE VILLAGE, CA 91362 |
VP and Chief Financial Officer |
/s/ Jeffrey Conner, attorney-in-fact | 04/12/2013 | |
**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 02/21/2016. Because of an inadvertent error, the number was incorrectly reported as 9375 shares on Mr. Mitchell's Form 4 filed with the Commission on March 4, 2013. |
(2) | Granted as compensation for services. |
(3) | 12,000 shares of restricted stock vested in full upon the 4/1/2013 closing of the sale of the Company's worldwide packaged foods and Asia fresh businesses to ITOCHU Corporation; 4,508 of these shares were returned to the Company to cover withholding tax. |
(4) | The closing price of the Company's common stock on 4/1/2013, $10.69 per share, was used to calculate the number of shares to be returned to the Company to cover withholding tax. |
(5) | Of these shares, 4,375 are restricted and vest in full on 2/21/2016 |
(6) | Because of an inadvertent error, the number of stock options granted was incorrectly reported as 56,250 on Mr. Mitchell's Form 4 filed with the Commission on March 4, 2013. |
(7) | The stock options vest in three equal annual installments commencing on 02/21/2014. |