SEC Form 4 · accession 0001209191-19-017114
RR Donnelley & Sons Co · RRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth E O'Brien
Officer — EVP and CIO
Period of report
Mar 2, 2019
Accepted (ET)
Mar 5, 2019 · 7:53 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 | Mar 2, 2019 | F | 11,180 | $5.36 | D | 126,361 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | — | Mar 4, 2019 | A | 45,593 | A | — | — | Common Stock | 45,593 | 45,593 | D |
Explanation of responses
- F1Represents the economic equivalent of common stock, which may be settled in Company common stock or cash upon vesting.
- F2Phantom Stock is payable in shares of common stock or cash in three equal annual installments on March 4, 2020, March 4, 2021 and March 4, 2022, subject to reporting person's continued employment.