SEC Form 4 · accession 0001209191-19-017171
Donnelley Financial Solutions, Inc. · DFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kami Turner
Officer — Chief Accounting Officer
Period of report
Mar 2, 2019
Accepted (ET)
Mar 5, 2019 · 8:30 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 Stock | Mar 2, 2019 | F | 797 | $14.65 | D | 15,159 | D | |
| Common StockF2,F3 | Mar 5, 2019 | A | 7,100 | — | A | 22,259 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F5,F4 | $14.15 | Mar 5, 2019 | A | 5,400 | A | — | Mar 4, 2029 | Common Stock | 5,400 | 5,400 | D |
Explanation of responses
- F1Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3.
- F2Company granted restricted stock units ("RSUs") issued pursuant to a Rule 16b-3 plan. The RSUs vest three equal annual installments beginning on March 5, 2020.
- F3Includes 4,129 shares held directly, 4,700 shares of restricted stock awards subject to performance vesting, 2,762 shares of restricted stock awards subject to time vesting and 10,668 RSUs.
- F4The option vests in four equal annual installments beginning on March 5, 2020.
- F5Company granted option issued pursuant to Rule 16b-3 Plan.