SEC Form 4 · accession 0001140361-15-010071
Quad/Graphics, Inc. · QUAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Ott
Officer — Vice President-Human Resources
Period of report
Mar 1, 2015
Accepted (ET)
Mar 3, 2015 · 8:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001481792
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Mar 1, 2015 | F | 622 | $23.43 | D | 14,919 | D | |
| Class A Common Stock | holding | — | — | — | 2,768 | I | By 401(a) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F2 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 1,750 | 1,750 | D |
| Stock Options (Right to Buy)F2 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 613 | 613 | D |
| Stock Options (Right to Buy)F2 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 1,576 | 1,576 | D |
| Stock Options (Right to Buy)F4 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 2,500 | 2,500 | D |
| Stock Options (Right to Buy)F2 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 1,405 | 1,405 | D |
| Stock Options (Right to Buy)F2 | $23.37 | holding | — | — | — | — | Jan 31, 2017 | Class A Common Stock | 5,000 | 5,000 | D |
| Stock Options (Right to Buy)F2 | $29.37 | holding | — | — | — | — | Jan 31, 2018 | Class A Common Stock | 2,500 | 2,500 | D |
| Stock Options (Right to Buy)F2 | $15.37 | holding | — | — | — | — | Jan 31, 2019 | Class A Common Stock | 2,500 | 2,500 | D |
| Stock Options (Right to Buy)F2 | $16.62 | holding | — | — | — | — | Jan 31, 2020 | Class A Common Stock | 5,000 | 5,000 | D |
| Stock Options (Right to Buy)F3 | $41.26 | holding | — | — | — | — | Jan 1, 2021 | Class A Common Stock | 2,392 | 2,392 | D |
| Stock Options (Right to Buy)F4 | $14.14 | holding | — | — | — | — | Jan 1, 2022 | Class A Common Stock | 2,392 | 2,392 | D |
Explanation of responses
- F1Reflects payment of tax liability by withholding shares of stock incident to the vesting of restricted stock previously issued.
- F2Portions of these stock options have already vested and become exercisable and the remainder vest and became exercisable on November 18, 2014.
- F3Became exercisable in three equal annual installments beginning on January 1, 2013.
- F4Vests and becomes exercisable in three equal annual installments beginning on January 1, 2014.