SEC Form 4 · accession 0001209191-17-018334
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
Feb 27, 2017
Accepted (ET)
Mar 6, 2017 · 4:39 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 Stock | Feb 27, 2017 | F | 1,685 | $17.72 | D | 69,510 | D | |
| Common StockF2,F3 | Mar 3, 2017 | A | 21,319 | — | A | 90,829 | D |
Table II — derivative securities
No Table II lines on this filing.
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. Mr. Carroll's RSUs will vest in three equal installments on March 2, 2018, March 2, 2019 and March 2, 2020, subject to Mr. Carroll's continued employment with the Company.
- F3Amount reflects 10,857 shares of common stock as well as 79,972 RSUs.