SEC Form 4 · accession 0001209191-16-154239
Donnelley Financial Solutions, Inc. · DFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas F Juhase
Officer — Chief Operating Officer
Period of report
Dec 8, 2016
Accepted (ET)
Dec 8, 2016 · 6:16 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 | 1,449 | — | A | 53,571 | 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. All 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 5,127 shares held directly, 23,414 shares of restricted stock and 25,030 restricted stock units.