SEC Form 4 · accession 0001140361-16-046705
Quad/Graphics, Inc. · QUAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher B Harned
Director
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 6:00 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 StockF1,F2 | Jan 1, 2016 | A | 11,250 | $0.00 | A | 63,492 | D | |
| Class A Common Stock | holding | — | — | — | 66,128 | I | By Spouse |
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) | $23.37 | holding | — | — | — | May 14, 2012 | Jan 31, 2017 | Class A Common Stock | 5,000 | 5,000 | D |
| Stock Options (Right to Buy) | $29.37 | holding | — | — | — | May 14, 2012 | Jan 31, 2018 | Class A Common Stock | 2,500 | 2,500 | D |
| Stock Options (Right to Buy) | $15.37 | holding | — | — | — | May 14, 2012 | 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 | 7,500 | 7,500 | D |
| Class B Common StockF4 | — | holding | — | — | — | — | — | Class A Common Stock | 1,723 | 1,723 | I |
| Class B Common StockF4 | — | holding | — | — | — | — | — | Class A Common Stock | 232,748 | 232,748 | I |
Explanation of responses
- F1Includes 11,250 shares attributable to deferred stock units granted under the Quad/Graphics, Inc. 2010 Omnibus Incentive Plan that will be delivered to the reporting person on the earlier of January 1, 2018 or the reporting person's separation from service. Any dividend or other distribution paid with respect to class A common stock underlying the deferred stock units shall accrue and be converted into additional deferred stock units based on the closing price of class A common stock on any such dividend date.
- F2Includes 1,795 additional deferred stock units resulting from the payment of dividends on the class A common stock underlying deferred stock units previously granted.
- F3Became exercisable as to 5,025 shares on May 14, 2012, and the remaining shares became exercisable on November 18, 2012.
- F4Class B Common Stock is convertible into Class A Common Stock on a 1-for-1 basis at no cost and has no expiration date.