Filing Details
- Accession Number:
- 0001140361-16-088456
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-01 19:28:46
- Reporting Period:
- 2016-11-30
- Filing Date:
- 2016-12-01
- Accepted Time:
- 2016-12-01 19:28:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1481792 | Quadaphics Inc. | QUAD | Commercial Printing (2750) | 391152983 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1495362 | C John Fowler | C/O Quad/Graphics, Inc. N61 W23044 Harry'S Way Sussex WI 53089 | Vice Chairman & Evp | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2016-11-30 | 9,000 | $16.62 | 196,233 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2016-11-30 | 9,000 | $28.10 | 187,233 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2016-11-30 | 9,000 | $16.62 | 196,233 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2016-11-30 | 9,000 | $28.28 | 187,233 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2016-11-30 | 9,000 | $16.62 | 196,233 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2016-11-30 | 9,000 | $28.51 | 187,233 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2016-11-29 | 198,353 | $0.00 | 198,353 | No | 5 | W | Indirect | As trustee - HRQ 2010 Tr. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 5 | W | Indirect | As trustee - HRQ 2010 Tr. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Options (Right to Buy) | Disposition | 2016-11-30 | 9,000 | $0.00 | 9,000 | $16.62 |
| Class A Common Stock | Stock Options (Right to Buy) | Disposition | 2016-11-30 | 9,000 | $0.00 | 9,000 | $16.62 |
| Class A Common Stock | Stock Options (Right to Buy) | Disposition | 2016-11-30 | 9,000 | $0.00 | 9,000 | $16.62 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2016-11-29 | 2,081 | $0.00 | 2,081 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 27,000 | 2020-01-31 | No | 4 | M | Direct | |
| 18,000 | 2020-01-31 | No | 4 | M | Direct | |
| 9,000 | 2020-01-31 | No | 4 | M | Direct | |
| 113,741 | No | 5 | W | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 1,291 | Indirect | By Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Options (Right to Buy) | $19.12 | 2012-05-14 | 2021-11-18 | 6,500 | 6,500 | Direct |
| Class A Common Stock | Stock Options (Right to Buy) | $29.37 | 2019-01-31 | 30,000 | 30,000 | Direct | |
| Class A Common Stock | Stock Options (Right to Buy) | $41.26 | 2021-01-01 | 34,218 | 34,218 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-11-18 | 6,500 | 6,500 | Direct |
| 2019-01-31 | 30,000 | 30,000 | Direct |
| 2021-01-01 | 34,218 | 34,218 | Direct |
Footnotes
- The price in Column 4 is a weighted average price. The prices actually received ranged from $28.00 to $28.27. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $28.25 to $28.36. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $28.50 to $28.54. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- The transaction represents the settlement of an estate of which the reporting person is a trustee of a beneficiary.
- As Trustee for the HRQ 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.
- Became exercisable in two equal annual installments beginning on November 18, 2012.
- Became exercisable as to 14,850 shares on May 14, 2012, and became exercisable ratably over the next three years with respect to the remaining shares beginning on November 18, 2012.
- Became exercisable in three equal annual installments beginning on January 1, 2013.
- 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.
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