SEC Form 4 · accession 0001209191-16-154776
RR Donnelley & Sons Co · RRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel L. Knotts
Officer — CEO & President · Director
Period of report
Dec 8, 2016
Accepted (ET)
Dec 12, 2016 · 6:04 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 | 41,171 | $0.00 | A | 385,869 | 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. 18,900 RSUs will vest in full on March 2, 2017 and 22,271 RSUs will vest in full on March 2, 2018, subject to continued employment with RRD. The performance share units and resulting RSUs are company granted units issued pursuant to Rule 16b-3 Plans.
- F2Amount reflects 83,382 shares of common stock held individually, 400 shares held jointly with spouse, 45 shares held in dividend reinvestment plan, as well as 302,042 RSUs.