SEC Form 4 · accession 0001209191-16-154238
Donnelley Financial Solutions, Inc. · DFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Leib
Officer — Chief Executive Officer · Director
Period of report
Dec 8, 2016
Accepted (ET)
Dec 8, 2016 · 6:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001669811
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 8, 2016 | A | 18,123 | — | A | 217,570 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the number of shares of Donnelley Financial Solutions, Inc. ("DFS") common stock underlying time-based restricted stock units ("RSUs") resulting from an equitable adjustment of performance share units on December 8, 2016, pursuant to the Separation and Distribution Agreement by and among R. R. Donnelley & Sons Company ("RRD"), LSC Communications, Inc. and DFS, following the measurement and certification of RRD performance through September 30, 2016 by the RRD Human Resources Committee. 4,500 RSUs will vest in full on March 2, 2017 and 13,623 RSUs will vest in full on March 2, 2018, subject to continued employment with DFS. The performance share units and resulting RSUs are company granted units issued pursuant to Rule 16b-3 Plans.
- F2Includes 14,635 shares held directly, 88,355 shares of restricted stock and 114,580 restricted stock units.