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) 12/02/2020 | 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) | ||||||||||||||
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 | 17,409 | D | |
Common Stock | 10,000 | I | By revocable family trust |
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 | ||||
Restricted Stock Unit | (1) | (1) | Common Stock | 62,505 | (2) | D | |
Restricted Stock Unit | (3) | (3) | Common Stock | 24,827 | (2) | D | |
Employee Stock Option (right to buy) | (4) | 07/17/2022 | Common Stock | 6,901 | 14.77 | D | |
Employee Stock Option (right to buy) | (5) | 05/07/2023 | Common Stock | 19,218 | 42.04 | D | |
Employee Stock Option (right to buy) | (6) | 05/16/2024 | Common Stock | 15,377 | 48.58 | D | |
Employee Stock Option (right to buy) | (7) | 04/30/2025 | Common Stock | 8,050 | 56.94 | D | |
Employee Stock Option (right to buy) | (8) | 04/28/2026 | Common Stock | 9,038 | 36.54 | D |
Explanation of Responses: |
1. The restricted stock unit ("RSU") award was granted on December 19, 2019 and vests in three equal annual installments beginning on October 6, 2020. One-third of this award has vested. |
2. Each RSU represents the right to receive one share of United Natural Foods, Inc. (the "Company") common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. |
3. The RSU award was granted on October 12, 2020 and vests in three equal annual installments beginning on the first anniversary of the date of grant. |
4. These stock options were granted on July 17, 2012 and are fully vested and exercisable. |
5. These stock options were granted on May 7, 2013 and are fully vested and exercisable. |
6. These stock options were granted on May 16, 2014 and are fully vested and exercisable. |
7. These stock options were granted on April 30, 2015 and are fully vested and exercisable. |
8. These stock options were granted on April 28, 2016 and are fully vested and exercisable. |
Remarks: |
(1) Exhibit 24 - Power of Attorney. (2) These securities represent the amounts owned by the reporting person as of December 2, 2020, the date of effectiveness of his appointment as an executive officer of the Company. |
Jody Hyvarinen, Power-of-Attorney, in fact | 12/11/2020 | |
** 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. |