UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee stock option (right to buy) | Â (3) | 09/11/2019(3) | Common Stock | 2,495 | $ 24.3 (2) | D | Â |
Employee stock option (right to buy) | Â (3) | 09/10/2020(3) | Common Stock | 4,310 | $ 33.9 (2) | D | Â |
Employee stock option (right to buy) | Â (3) | 09/12/2021(3) | Common Stock | 4,370 | $ 37.82 (2) | D | Â |
Restricted Stock Unit | Â (5) | 09/11/2013(5) | Common Stock | 3,293 | $ 0 (4) | D | Â |
Restricted Stock Unit | Â (5) | 09/10/2014(5) | Common Stock | 4,313 | $ 0 (4) | D | Â |
Restricted Stock Unit | Â (5) | 09/12/2015(5) | Common Stock | 5,830 | $ 0 (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TESTA CHRISTOPHER P. C/O UNFI 313 IRON HORSE WAY PROVIDENCE, RI 02908 |
 |  |  President, Blue Marble Brands |  |
Lisa N'Chonon, Power-of-Attorney, in-fact | 09/10/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents 85 shares of common stock allocated to the reporting person under the United Natural Foods, Inc. Employee Stock Ownership Plan as of September 10, 2012. |
(2) | Closing price of United Natural Foods, Inc. on the NASDAQ National Market on the grant date. |
(3) | The stock options vest and become exercisable in four equal annual installments beginning on the first anniversary of the date of grant, and expire on the tenth anniversary of the date of grant. |
(4) | 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. |
(5) | The restricted stock units vest in four equal annual installments beginning on the first anniversary of the date of grant. |