SEC Form 4 · accession 0000920321-17-000031
CENVEO, INC · CVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael G Burton
Officer — Chief Operating Officer
Period of report
Jun 10, 2016
Accepted (ET)
May 3, 2017 · 8:17 pm EDT
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 Stock withholding for tax liabilityF1,F2 | May 1, 2017 | F | 269 | $4.44 | D | 95,945 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF3 | $12.00 | Jun 10, 2016 | P | 1,258 | A | Jun 10, 2016 | Jun 10, 2024 | Common Stock | 1,258 | 2,516 | D |
Explanation of responses
- F1Shares withheld as payment of a tax liability on vesting of performance share units.
- F2Includes 18,875 shares purchased under Issuer's Employee Stock Purchase Plan and 2,199 shares purchased under Issuer's 401(k) plan.
- F3Consists of 10,064 warrants to purchase 1,258 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 $95,200 of Cenveo, Inc.'s new 6% senior notes due 2024 in exchange for $136,000 of such 11.5% notes.