SEC Form 4 · accession 0001140361-16-046730
Quad/Graphics, Inc. · QUAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Frankowski
Officer — Chief Operating Officer
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 6:13 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 | Jan 1, 2016 | A | 100,000 | $0.00 | A | 239,014 | D | |
| Class A Common Stock | holding | — | — | — | 6,322 | 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 | 3,583 | 3,583 | D |
| Stock Options (Right to Buy)F3 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 6,038 | 6,038 | D |
| Stock Options (Right to Buy)F4 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 3,281 | 3,281 | D |
| Stock Options (Right to Buy)F5 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 3,544 | 3,544 | D |
| Stock Options (Right to Buy)F6 | $19.12 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 1,200 | 1,200 | D |
| Stock Options (Right to Buy)F7 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 7,750 | 7,750 | D |
| Stock Options (Right to Buy)F8 | $13.4708 | holding | — | — | — | — | Nov 18, 2021 | Class A Common Stock | 3,875 | 3,875 | D |
| Stock Options (Right to Buy)F9 | $23.37 | holding | — | — | — | — | Jan 31, 2017 | Class A Common Stock | 40,000 | 40,000 | D |
| Stock Options (Right to Buy)F10 | $29.37 | holding | — | — | — | — | Jan 31, 2018 | Class A Common Stock | 20,000 | 20,000 | D |
| Stock Options (Right to Buy)F11 | $15.37 | holding | — | — | — | — | Jan 31, 2019 | Class A Common Stock | 28,500 | 28,500 | D |
| Stock Options (Right to Buy)F12 | $16.62 | holding | — | — | — | — | Jan 31, 2020 | Class A Common Stock | 20,000 | 20,000 | D |
| Stock Options (Right to Buy)F13 | $41.26 | holding | — | — | — | — | Jan 1, 2021 | Class A Common Stock | 23,929 | 23,929 | D |
| Stock Options (Right to Buy)F14 | $14.14 | holding | — | — | — | — | Jan 1, 2022 | Class A Common Stock | 23,929 | 23,929 | D |
Explanation of responses
- F1Includes 100,000 shares of restricted stock granted under the Quad/Graphics, Inc. 2010 Omnibus Incentive Plan that will vest on March 1, 2019.
- F10Became exercisable as to 8,000 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F11Became exercisable as to 9,000 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F12Became exercisable as to 4,000 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F13Vests and becomes exercisable in three equal annual installments beginning on January 1, 2013.
- F14Vests and becomes exercisable in three equal annual installments beginning on January 1, 2014.
- F2Became exercisable as to 3,859 shares on May 14, 2012, and become exercisable ratably over the next two years with respect to the remaining shares beginning on November 18, 2012.
- F3Became exercisable as to 3,675 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F4Became exercisable as to 1,838 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F5Became exercisable as to 1,837 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F6Became exercisable on May 14, 2012.
- F7Became exercisable as to 3,500 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F8Became exercisable as to 1,750 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- F9Became exercisable as to 20,000 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.