SEC Form 4 · accession 0001140361-16-046750
Quad/Graphics, Inc. · QUAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelly A Vanderboom
Officer — VP & Treasurer *
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 6:27 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 | 30,000 | $0.00 | A | 66,096 | D | |
| Class A Common Stock | holding | — | — | — | 1,307 | 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 | 2,500 | 2,500 | 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)F4 | $29.37 | holding | — | — | — | — | Jan 31, 2018 | Class A Common Stock | 5,000 | 5,000 | D |
| Stock Options (Right to Buy)F5 | $41.26 | holding | — | — | — | — | Jan 1, 2021 | Class A Common Stock | 4,786 | 4,786 | D |
| Stock Options (Right to Buy)F6 | $14.14 | holding | — | — | — | — | Jan 1, 2022 | Class A Common Stock | 1,596 | 1,596 | D |
Explanation of responses
- F1Includes 30,000 shares of restricted stock granted under the Quad/Graphics, Inc. 2010 Omnibus Incentive Plan that will vest on March 1, 2019.
- F2Became exercisable as to 1,250 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.
- F3Became exercisable as to 2,500 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.
- F4Became exercisable as to 2,000 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.
- F5Vests and becomes exercisable in three equal annual installments beginning on January 1, 2013.
- F6Vests and becomes exercisable in three equal annual installments beginning on January 1, 2014.
Remarks
* Vice President & Treasurer, President of Logistics