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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 | ||||||||
Restricted Stock Unit | (5) | 09/16/2015 | M | 2,000 | (6) | (6) | Common Stock | 2,000 | $ 0 | 0 | D | ||||
Restricted Stock Unit | (5) | 09/17/2015 | A | 6,000 | (7) | (7) | Common Stock | 6,000 | $ 0 | 6,000 | D | ||||
Restricted Stock Unit | (5) | 09/17/2015 | M | 3,000 | (7) | (7) | Common Stock | 3,000 | $ 0 | 3,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FUNK MICHAEL S C/O UNITED NATURAL FOODS, INC. 313 IRON HORSE WAY PROVIDENCE, RI 02908 |
X |
Joseph McGrail, Power-of-Attorney, in fact | 03/19/2018 | |
**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) | Restricted stock units convert into common stock on a one-for-one basis. Accordingly, there was no purchase price paid by the reporting person. |
(2) | On September 16, 2015, 2,000 shares of United Natural Foods, Inc. (the "Company") restricted stock units vested. The Company retained 752 shares on that date to satisfy certain tax withholding obligations in connection with the vesting. |
(3) | On September 17, 2015, 3,000 shares of United Natural Foods, Inc. (the "Company") restricted stock units vested. The Company retained 1,128 shares on that date to satisfy certain tax withholding obligations in connection with the vesting. |
(4) | Represents 4,223 shares of common stock allocated to the reporting person under the United Natural Foods, Inc. Employee Stock Ownership Plan as of September 16, 2015. |
(5) | 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. |
(6) | The restricted stock units vest as follows: one-third vested on the date of grant, and the remaining two-thirds of the award vest in two equal annual installments beginning on the first anniversary of the date of grant. |
(7) | The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant. |
Remarks: The shares reported as being directly owned following the transaction reported on September 17, 2015 were inadvertently overstated by 6,000 shares. This amended form reflects a correction to the number of shares beneficially owned as of September 18, 2015, the original date of the Form 4 being amended by this filing. Forms 4 filed on each of the following dates were also inadvertently overstated by 6,000 shares: March 21, 2016, September 16, 2016, March 17, 2017, and September 19, 2017. |