SEC Form 4 · accession 0000712034-17-000065
ACCO BRANDS Corp · ACCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathy D Schnaedter
Officer — SVP, Corp Controller & CAO
Period of report
Jun 7, 2017
Accepted (ET)
Jun 8, 2017 · 4:42 pm EDT
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 | Jun 7, 2017 | M | 13,590 | $7.64 | A | 68,655 | D | |
| Common Stock | Jun 7, 2017 | M | 18,434 | $6.12 | A | 87,089 | D | |
| Common Stock | Jun 7, 2017 | M | 7,000 | $8.93 | A | 94,089 | D | |
| Common Stock | Jun 7, 2017 | M | 16,358 | $7.51 | A | 110,447 | D | |
| Common StockF1 | Jun 7, 2017 | S | 68,653 | $11.262 | D | 41,794 | 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)F2 | $7.64 | Jun 7, 2017 | M | 13,590 | D | — | Feb 21, 2020 | Common Stock | 13,590 | 0 | D |
| Stock Option (right to buy)F3 | $6.12 | Jun 7, 2017 | M | 18,434 | D | — | Mar 5, 2021 | Common Stock | 18,434 | 0 | D |
| Stock Option (right to buy)F4 | $8.93 | Jun 7, 2017 | M | 7,000 | D | — | May 18, 2018 | Common Stock | 7,000 | 0 | D |
| Stock Option (right to buy)F5 | $7.51 | Jun 7, 2017 | M | 16,358 | D | — | Mar 4, 2022 | Common Stock | 16,358 | 8,178 | 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 $11.225 to $11.30. 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.
- F2Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on February 21, 2014. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan.
- F3Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on March 5, 2015. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan.
- F4Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on May 18, 2012. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan.
- F5Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on March 4, 2016. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan.