SEC Form 4 · accession 0001140361-16-078675
Quad/Graphics, Inc. · QUAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher B Harned
Director
Period of report
Aug 31, 2016
Accepted (ET)
Sep 2, 2016 · 2:48 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 | Aug 31, 2016 | M | 5,000 | $23.37 | A | 69,885 | D | |
| Class A Common StockF2 | holding | — | — | — | 68,621 | 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 | Aug 31, 2016 | M | 5,000 | D | May 14, 2012 | Jan 31, 2017 | Class A Common Stock | 5,000 | 0 | D |
| Class B Common StockF4 | — | Aug 26, 2016 | G | 1,723 | D | — | — | Class A Common Stock | 1,723 | 0 | I |
| Class B Common StockF4 | — | Aug 25, 2016 | G | 8,230 | A | — | — | Class A Common Stock | 8,230 | 240,978 | I |
| 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 |
Explanation of responses
- F1Includes 1,393 additional deferred stock units resulting from the payment of dividends on the class A common stock underlying deferred stock units previously granted.
- F2Updated to reflect an additional 2,492.565 shares held by the reporting person's spouse in a tax-qualified retirement plan that were identified subsequent to the reporting person's previously filed Form 4. To the extent this Form 4 updates the beneficial share ownership amounts reported on previously filed forms, this Form 4 serves as an amendment to any such previously filed forms.
- 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.