SEC Form 4 · accession 0000712034-16-000132
ACCO BRANDS Corp · ACCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark C Anderson
Officer — Sr VP, Corporate Development
Period of report
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 3:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000712034
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 18, 2016 | M | 18,482 | $7.64 | A | 98,979 | D | |
| Common Stock | Nov 18, 2016 | M | 15,900 | $8.93 | A | 114,879 | D | |
| Common Stock | Nov 18, 2016 | M | 7,958 | $7.51 | A | 122,837 | D | |
| Common Stock | Nov 18, 2016 | M | 16,714 | $6.12 | A | 139,551 | D | |
| Common StockF1 | Nov 18, 2016 | S | 59,054 | $12.168 | D | 80,497 | D | |
| Common StockF2 | Nov 18, 2016 | S | 35,082 | $12.167 | D | 45,415 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $7.64 | Nov 18, 2016 | M | 18,482 | D | Feb 21, 2014 | Feb 21, 2020 | Common Stock | 18,482 | 0 | D |
| Stock Option (right to buy)F3 | $8.93 | Nov 18, 2016 | M | 15,900 | D | May 18, 2012 | May 17, 2018 | Common Stock | 15,900 | 0 | D |
| Stock Option (right to buy)F3 | $7.51 | Nov 18, 2016 | M | 7,958 | D | Mar 4, 2016 | Mar 4, 2022 | Common Stock | 7,958 | 15,915 | D |
| Stock Option (right to buy)F3 | $6.12 | Nov 18, 2016 | M | 16,714 | D | Mar 5, 2015 | Mar 5, 2021 | Common Stock | 16,714 | 8,357 | D |
Explanation of responses
- F1This price reflects the weighted average sale price for the shares, which were sold in multiple transactions at prices that ranged from $12.15 to $12.275. Upon request of the SEC staff, the issuer, or a security holder of the issuer, the reporting person will provide information regarding the number of shares sold at each separate price.
- F2This price reflects the weighted average sale price for the shares, which were sold in multiple transactions at prices that ranged from $12.15 to $12.268. Upon request of the SEC staff, the issuer, or a security holder of the issuer, the reporting person will provide information regarding the number of shares sold at each separate price.
- F3Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually. All vested options are exercisable. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan.