SEC Form 4 · accession 0001140361-17-000584
Quad/Graphics, Inc. · QUAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Honan
Officer — EVP & CFO
Period of report
Jan 1, 2017
Accepted (ET)
Jan 4, 2017 · 9:46 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, 2017 | A | 38,506 | $0.00 | A | 180,685 | D | |
| Class A Common Stock | holding | — | — | — | 364 | 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 | $15.37 | holding | — | — | — | — | Jan 31, 2019 | Class A Common Stock | 10,000 | 10,000 | D |
| Stock Options (Right to Buy)F3 | $16.62 | holding | — | — | — | — | Jan 31, 2020 | Class A Common Stock | 7,500 | 7,500 | D |
| Stock Options (Right to Buy)F4 | $41.26 | holding | — | — | — | — | Jan 1, 2021 | Class A Common Stock | 7,179 | 7,179 | D |
Explanation of responses
- F1Includes 38,506 shares of restricted stock granted under the Quad/Graphics, Inc. 2010 Omnibus Incentive Plan that will vest on March 1, 2020.
- F2Became exercisable as to 3,000 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.
- F3Became exercisable as to 1,500 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.
- F4Vests and becomes exercisable in three equal annual installments beginning on January 1, 2013.