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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options (Right to Buy) | $ 14.14 | 11/12/2014 | M | 39,881 | (10) | 01/01/2022 | Class A Common Stock | 39,881 | $ 0 | 79,762 | D | ||||
Stock Options (Right to Buy) | $ 13.4708 | (1) | 11/18/2021 | Class A Common Stock | 4,410 | 4,410 | D | ||||||||
Stock Options (Right to Buy) | $ 13.4708 | (2) | 11/18/2021 | Class A Common Stock | 5,250 | 5,250 | D | ||||||||
Stock Options (Right to Buy) | $ 13.4708 | (2) | 11/18/2021 | Class A Common Stock | 6,825 | 6,825 | D | ||||||||
Stock Options (Right to Buy) | $ 13.4708 | (3) | 11/18/2021 | Class A Common Stock | 3,675 | 3,675 | D | ||||||||
Stock Options (Right to Buy) | $ 13.4708 | (3) | 11/18/2021 | Class A Common Stock | 3,938 | 3,938 | D | ||||||||
Stock Options (Right to Buy) | $ 13.4708 | (4) | 11/18/2021 | Class A Common Stock | 9,000 | 9,000 | D | ||||||||
Stock Options (Right to Buy) | $ 13.4708 | (5) | 11/18/2021 | Class A Common Stock | 4,250 | 4,250 | D | ||||||||
Stock Options (Right to Buy) | $ 23.37 | (6) | 01/31/2017 | Class A Common Stock | 150,000 | 150,000 | D | ||||||||
Stock Options (Right to Buy) | $ 29.37 | (7) | 01/31/2018 | Class A Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Options (Right to Buy) | $ 15.37 | (8) | 01/31/2019 | Class A Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Options (Right to Buy) | $ 16.62 | (8) | 01/31/2020 | Class A Common Stock | 150,000 | 150,000 | D | ||||||||
Stock Options (Right to Buy) | $ 41.26 | (9) | 01/01/2021 | Class A Common Stock | 119,643 | 119,643 | D | ||||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 223,239 | 223,239 | D | ||||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 92 | 92 | I | As trustee - AQH Tr (12) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 92 | 92 | I | As trustee - EQH Tr (13) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 1,752 | 1,752 | I | As trustee - HRQ for Joel (14) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 5,480 | 5,480 | I | As trustee - HVQF Tr (15) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 5,480 | 5,480 | I | As trustee - IMF Tr (16) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 92 | 92 | I | As trustee - KBH Tr (17) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 5,480 | 5,480 | I | As trustee - KMF Tr (18) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 92 | 92 | I | As trustee - WVH Tr (19) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 119,837 | 119,837 | I | As trustee - HVQ for Richard (20) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 126,488 | 126,488 | I | As trustee - HVQ for Kathryn (21) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 126,504 | 126,504 | I | As trustee - HVQ for Joel (22) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 126,473 | 126,473 | I | As trustee - HVQ for Elizabeth (23) | |||||||
Class B Common Stock | (11) | (11) | (11) | Class A Common Stock | 111,660 | 111,660 | I | As trustee - HQH 2010 Tr (24) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Quadracci J Joel C/O QUAD/GRAPHICS, INC. N61 W23044 HARRY'S WAY SUSSEX, WI 53089 |
X | Chairman, Pres. & CEO |
/s/ Jennifer J. Kent, Attorney-In-Fact for J. Joel Quadracci | 11/14/2014 | |
**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) | Became exercisable as to 3,307 shares on May 14, 2012, and become exercisable ratably over the next two years with respect to the remaining shares beginning on November 18, 2012. |
(2) | Became exercisable as to 3,150 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012. |
(3) | Became exercisable as to 1,575 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012. |
(4) | Became exercisable as to 3,500 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012. |
(5) | Became exercisable as to 1,500 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012. |
(6) | Became exercisable as to 75,000 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012. |
(7) | Became exercisable as to 40,000 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012. |
(8) | Became exercisable as to 30,000 shares on May 14, 2012, and become exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012. |
(9) | Vests and becomes exercisable in three equal annual installments beginning on January 1, 2013. |
(10) | Vests and becomes exercisable in three equal annual installments beginning on January 1, 2014. |
(11) | Class B Common Stock is convertible into Class A Common Stock on a 1-for-1 basis at no cost and has no expiration date. |
(12) | As Trustee for the Alexander Q. Harned 2007 Trust. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(13) | As Trustee for the Elizabeth Quadracci Harned 2003 Trust. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(14) | As Trustee for the HRQ 1990 Descendants Trust for Joel. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(15) | As Trustee for the Harry Virgil Quadracci Flores 2002 Trust. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(16) | As Trustee for the Isabella Marion Flores 1999 Trust. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(17) | As Trustee for the Kathryn B. Harned 2004 Trust. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(18) | Represents deposit into voting trust of shares previously reported as owned as Trustee for the Kaitlin Mary Flores 2000 Trust. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(19) | As Trustee for the William V. Harned 2006 Trust. The reporting person is a trustee of the trust and is a current or future beneficiary thereof. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(20) | As Trustee for the HVQ 1992 Descendants Trust f/b/o H. Richard Quadracci. The reporting person is a trustee of the trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(21) | As Trustee for the HVQ 1992 Descendants Trust f/b/o H. Kathryn Q. Flores. The reporting person is a trustee of the trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(22) | As Trustee for the HVQ 1992 Descendants Trust f/b/o J. Joel Quadracci. The reporting person is a trustee of the trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(23) | As Trustee for the HVQ 1992 Descendants Trust f/b/o Elizabeth Q. Harned. The reporting person is a trustee of the trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(24) | As Trustee for the H. Richard Quadracci 2010 Trust. The reporting person is a trustee of the trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |