SEC Form 4 · accession 0000920321-16-000195
CENVEO, INC · CVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert G Burton Sr.
Officer — Chairman and CEO · Director
Period of report
Jun 10, 2016
Accepted (ET)
Nov 17, 2016 · 3:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000920321
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 16, 2016 | P | 15,975 | $6.89 | A | 310,211 | D | |
| Common StockF3 | holding | — | — | — | 312,500 | I | see footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF4,F5 | $12.00 | Jun 10, 2016 | P | 37,491 | A | Jun 10, 2016 | Jun 10, 2024 | Common Stock | 37,491 | 37,491 | D |
Explanation of responses
- F1Includes 86,821 shares purchased under Issuer's Employee Stock Purchase Plan.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.84 to $6.95, inclusive. The reporting person undertakes to provide Cenveo, Inc., any security holder of Cenveo, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F3Reflects shares gifted by Mr. Burton to the Robert G. Burton, Sr. Family Trust, which owns the shares and of which Mrs. Burton and her sons Robert, Jr., Michael and Joseph Burton are co-trustees. Mr. Burton disclaims beneficial ownership of all these shares.
- F4Reflects the one-for-eight reverse stock split effected on July 13, 2016.
- F5Consists of 299,922 warrants to purchase 37,491 shares of common stock at $12.00 per share. Such warrants were issued in Cenveo, Inc.'s exchange offer for all of its 11.5% senior notes due 2017, in which Mr. Burton received such Warrants and $2,837,100 of Cenveo, Inc.'s new 6% senior notes due 2024 in exchange for $4,053,000 of such 11.5% notes.