SEC Form 4 · accession 0001225208-17-008895
JOHN WILEY & SONS, INC. · WLY, WLYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Allin
Officer — President and CEO
Period of report
Apr 30, 2017
Accepted (ET)
May 2, 2017 · 7:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000107140
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A CommonF1 | Apr 30, 2017 | M | 3,760 | $0.00 | A | 11,126 | D | |
| Class A Common | Apr 30, 2017 | M | 3,100 | $0.00 | A | 14,226 | D | |
| Class A Common | Apr 30, 2017 | M | 1,485 | $0.00 | A | 15,711 | D | |
| Class A CommonF1 | Apr 30, 2017 | M | 1,150 | $0.00 | A | 16,861 | D | |
| Class A Common | Apr 30, 2017 | M | 939 | $0.00 | A | 17,800 | D | |
| Class A CommonF2 | Apr 30, 2017 | F | 4,850 | $52.70 | D | 12,950 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Performance UnitsF3,F4 | $0.00 | Apr 30, 2017 | M | 3,100 | D | — | — | Class A Common | 3,100 | 3,100 | D |
| Restricted Stock UnitsF5,F6 | $0.00 | Apr 30, 2017 | M | 939 | D | — | — | Class A Common | 939 | 8,202 | D |
| Restricted Stock UnitsF5,F7 | — | Apr 30, 2017 | M | 1,150 | D | — | — | Class A Common | 1,150 | 16,193 | D |
| Restricted Stock UnitsF5,F8 | $0.00 | Apr 30, 2017 | M | 1,485 | D | — | — | Class A Common | 1,485 | 6,717 | D |
| Restricted Stock UnitsF5,F9 | — | Apr 30, 2017 | M | 3,760 | D | — | — | Class A Common | 3,760 | 12,433 | D |
Explanation of responses
- F1$0.00
- F2Represents shares surrendered to cover withholding tax liability due upon vesting of restricted stock units and performance share units.
- F3Restricted performance units convert into Class A common stock on a one-for-one basis.
- F4Restricted performance units vest 50% of payout grant on each of the 4th and 5th anniversaries of the underlying performance stock unit grant.
- F5Restricted stock units convert into Class A common stock on a one-for-one basis.
- F6On June 24, 2015, the reporting person was granted 1,877 restricted stock units as settlement of PSUs, vesting in two annual installments on April 30 2016 and 2017.
- F7On June 25, 2013, the reporting person was granted 2,300 restricted stock units, vesting in two annual installments on April 30 2017 and 2018.
- F8On June 24, 2015, the reporting person was granted 5,940 restricted stock units, vesting in four equal annual installments beginning on April 30th of each year after grant.
- F9On June 22, 2016, the reporting person was granted 15,043 restricted stock units, vesting in four equal annual installments beginning on April 30, 2017.