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 | ||||
Option | Â (3) | 11/04/2016 | Common Stock | 4,196 | $ 11.32 | D | Â |
Option | Â (4) | 11/10/2017 | Common Stock | 3,784 | $ 7.11 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dahlstrom-Gutel Anita 5050 EDGEWOOD COURT JACKSONVILLE, FL 32254 |
 |  |  SVP, Human Resources |  |
/s/ Timothy L. Williams, as attorney-in-fact for Anita Dahlstrom-Gutel | 01/18/2011 | |
**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 Restricted Stock Units ("RSUs") awarded under the Winn-Dixie Stores, Inc. 2010 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of Winn-Dixie Stores, Inc. common stock. These RSUs will vest in two installments on each of November 4, 2011 and November 4, 2012. |
(2) | Represents RSUs awarded under the Winn-Dixie Stores, Inc. 2010 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Winn-Dixie Stores, Inc. common stock. The restricted stock units vest in three equal annual installments beginning on November 10, 2011. |
(3) | Of the 4,196 outstanding options, there are 1,399 options that are vested and fully exercisable. The remaining 2,797 options shall vest in two annual installments on each of November 4, 2011 and November 4, 2012. |
(4) | The Option shall vest in equal annual installments over 3 years beginning on November 10, 2011. |