|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Knotts Daniel L. C/O RR DONNELLEY 35 WEST WACKER DRIVE CHICAGO, IL 60601 |
X | CEO & President |
/s/ Deborah L. Steiner, Attorney-in-fact for Daniel L. Knotts | 12/09/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reflects the number of shares of R.R. Donnelley & Sons Company ("RRD") common stock underlying time-based restricted stock units ("RSUs") resulting from an equitable adjustment of RRD performance share units on December 8, 2016, pursuant to the Separation and Distribution Agreement by and among RRD, LSC Communications, Inc. and Donnelley Financial Solutions, Inc., following the measurement and certification of RRD performance through September 30, 2016 by the RRD Human Resources Committee. 18,900 RSUs will vest in full on March 2, 2017 and 22,271 RSUs will vest in full on March 2, 2018, subject to continued employment with RRD. The performance share units and resulting RSUs are company granted units issued pursuant to Rule 16b-3 Plans. |
(2) | Amount reflects 83,382 shares of common stock held individually, 400 shares held jointly with spouse, 45 shares held in dividend reinvestment plan, as well as 302,042 RSUs. |