SEC Form 4 · accession 0001209191-16-154774
RR Donnelley & Sons Co · RRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Carroll III
Officer — EVP & CAO
Period of report
Dec 8, 2016
Accepted (ET)
Dec 12, 2016 · 6:03 pm EST
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 StockF1,F2 | Dec 8, 2016 | A | 2,220 | $0.00 | A | 71,195 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the number of shares of R.R. Donnelley & Sons Company ("RRD") common stock underlying time-based restricted stock units ("RSUs") resulting from an equitable adjustment of RRD performance share units on December 8, 2016, pursuant to the Separation and Distribution Agreement by and among RRD, LSC Communications, Inc. and Donnelley Financial Solutions, Inc., following the measurement and certification of RRD performance through September 30, 2016 by the RRD Human Resources Committee. The RSUs will vest in full on March 2, 2018, subject to continued employment with RRD.
- F2Amount reflects 7,126 shares of common stock, as well as 64,069 RSUs.