SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
KLEIN RONALD H

(Last) (First) (Middle)
2515 MCKINNEY AVENUE, SUITE 1200

(Street)
DALLAS TX 75201

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
DEAN FOODS CO/ [ DF ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President --
3. Date of Earliest Transaction (Month/Day/Year)
03/01/2004
4. If Amendment, Date of Original Filed (Month/Day/Year)
03/03/2004
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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/07/2004 M 1,844(1) A $0 23,952.554 D
Common Stock 02/27/2004 J V 130.109 A $30.158(2) 24,082.663 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Stock Units $0 01/07/2004 M 2,700 01/07/2004(1) 01/07/2013 Common Stock 2,700 $0 10,800 D
Deferred Stock Units $0 01/13/2004 A 12,000 01/13/2005(3) 01/13/2014 Common Stock 12,000 $0 12,000 D
Incentive Stock Option (right to buy) $31.17 01/13/2004 A 3,209 01/13/2005(4) 01/13/2014 Common Stock 3,209 $31.17 3,209 D
Non-Qualified Stock Option (right to buy) $31.17 01/13/2004 A 29,791 01/13/2005(4) 01/13/2014 Common Stock 29,791 $31.17 29,791 D
Explanation of Responses:
1. The reporting person received 1,844 shares of common stock of the Issuer on the first annual vesting date of an award of Deferred Stock Units ("DSUs"); 856 shares of common stock were forfeited by the reporting person from the total of 2,700 shares of common stock vested. AMENDED to show the correct number of shares acquired by the reporting person.
2. Shares purchased monthly through Issuer's Employee Stock Purchase Plan from February 27, 2004 through July 31, 2004, at an average purchase price of $30.158.
3. The reporting person has received an exempt award of Deferred Stock Units ("DSUs") under the Company's 1989 Stock Awards Plan which is a right to receive shares of common Stock of the Issuer in the future, subject to the terms and conditions of the DSU Award Agreement. The DSUs vest annually, on a prorata basis, over a five-year period beginning on the first anniversary of the date of grant, subject to certain accelerated vesting provisions.
4. The shares of common stock subject to the Option shall vest ratably in three equal increments commencing on the first anniversary of the grant date.
Remarks:
Ronald H. Klein 08/30/2004
** 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 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).
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.