SEC Form 4 · accession 0001225208-18-014876
JOHN WILEY & SONS, INC. · WLY, WLYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beth A Birnbaum
Director
Period of report
Sep 27, 2018
Accepted (ET)
Oct 25, 2018 · 5:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000107140
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1 | $0.00 | Sep 27, 2018 | A | 1,809 | A | — | — | Class A Common | 1,809 | 1,809 | D |
| Phantom Stock UnitsF2 | $0.00 | Oct 24, 2018 | A | 11 | A | — | — | Class A Common | 11 | 1,820 | D |
Explanation of responses
- F1Annual director stock award issued pursuant to the 2018 Director Stock Plan and accrued under the Director Deferred Compensation Plan. Such shares will vest on the earliest of (i) the day before the next Annual Meeting, (ii) the director's death/disability, and (iii) a change in control event. Shares settled upon retirement from the Board in 100% of John Wiley & Sons, Inc. Class A Common stock.
- F2Represents additional Phantom Stock Units as a result of quarterly dividend. To be settled upon retirement in 100% Company Class A Common stock at a 1-for-1 conversion.