SEC Form 4/A · accession 0000899243-16-031871

RR Donnelley & Sons Co · RRD

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Officer — See Remarks

Period of report

Oct 1, 2016

Accepted (ET)

Oct 18, 2016 · 7:30 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000029669

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 1, 2016	A	20,642	$0.00	A	68,975	D

No Table II lines on this filing.

F1Reporting Person is filing an amendment to his Form 4, which was filed on October 4, 2016, in order to update the number of securities acquired and the amount of securities beneficially owned following the Reported Transaction. On October 1, 2016, Thomas M. Carroll III was awarded restricted stock units ("RSUs") with a value of $450,000, pursuant to the R. R. Donnelley & Sons Company Non-Employee Director Compensation Plan. Such grant represents 20,642 RSUs calculated based on the ten trading day volume weighted average price of R. R. Donnelley & Sons Company ("RRD") common stock following the date of grant.
F2(Continued from Footnote 1) Mr. Carroll's RSUs will vest ratably in three equal installments on the first three anniversaries of the date of grant, subject to Mr. Carroll's continued employment with RRD. Mr. Carroll's beneficial ownership of securities also reflects 7,126 shares of common stock owned prior to the grant of RSUs as well as 41,207 RSUs held prior to the date of the Reported Transaction (after giving effect to the one for three reverse stock split that was effective on October 1, 2016 and the distribution by RRD of 80.75% of the common stock of LSC Communications, Inc. and Donnelley Financial Solutions, Inc., which occurred on October 1, 2016.)

Executive Vice President and Chief Administrative Officer