SEC Form 4 · accession 0001140361-16-075289
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
Aug 4, 2016
Accepted (ET)
Aug 8, 2016 · 7:50 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 Stock | Aug 4, 2016 | M | 2,500 | $13.4708 | A | 68,596 | D | |
| Class A Common Stock | Aug 4, 2016 | M | 5,000 | $23.37 | A | 73,596 | D | |
| Class A Common Stock | Aug 4, 2016 | M | 1,596 | $14.14 | A | 75,192 | D | |
| Class A Common StockF1 | Aug 4, 2016 | S | 19,030 | $28.8399 | D | 56,162 | 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 | Aug 4, 2016 | M | 2,500 | D | — | Nov 18, 2021 | Class A Common Stock | 2,500 | 0 | D |
| Stock Options (Right to Buy)F3 | $23.37 | Aug 4, 2016 | M | 5,000 | D | — | Jan 31, 2017 | Class A Common Stock | 5,000 | 0 | D |
| Stock Options (Right to Buy)F6 | $14.14 | Aug 4, 2016 | M | 1,596 | D | — | Jan 1, 2022 | Class A Common Stock | 1,596 | 0 | 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 |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $28.8346 to $28.8488. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- 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