SEC Form 4 · accession 0001140361-15-014373
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
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 4:03 pm EDT
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 StockF1 | Apr 1, 2015 | A | 10,837 | $0.00 | A | 24,576 | 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 | $14.14 | holding | — | — | — | — | Jan 1, 2022 | Class A Common Stock | 798 | 798 | D |
| Stock Options (Right to Buy)F3 | $23.37 | holding | — | — | — | — | Jan 31, 2017 | Class A Common Stock | 5,000 | 5,000 | D |
| Stock Options (Right to Buy)F3 | $29.37 | holding | — | — | — | — | Jan 31, 2018 | Class A Common Stock | 2,500 | 2,500 | D |
| Stock Options (Right to Buy)F3 | $15.37 | holding | — | — | — | — | Jan 31, 2019 | Class A Common Stock | 2,500 | 2,500 | D |
| Stock Options (Right to Buy)F3 | $16.62 | holding | — | — | — | — | Jan 31, 2020 | Class A Common Stock | 5,000 | 5,000 | D |
| Stock Options (Right to Buy)F4 | $41.26 | holding | — | — | — | — | Jan 1, 2021 | Class A Common Stock | 2,392 | 2,392 | D |
Explanation of responses
- F1Includes 10,837 shares of restricted stock granted under the Quad/Graphics, Inc. 2010 Omnibus Incentive Plan that will vest on March 1, 2018.
- F2Vests and becomes exercisable in three equal annual installments beginning on January 1, 2014.
- F3Portions of these stock options have already vested and become exercisable and the remainder vest and became exercisable on November 18, 2014.
- F4Became exercisable in three equal annual installments beginning on January 1, 2013.