Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Donnelley Financial Solutions, Inc.DFIN · Entity 2289 | Chief Operating Officer | March 05, 2020 | March 06, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Donnelley Financial Solutions, Inc.
Report date March 05, 2020 · Filed March 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 86,077 |
Reported balance
After 2020-03-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-03-05 · Tax withholding · Disposed 4,530 · Balance 86,077 F1: Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3. F2: Includes 60,610 shares held directly and 25,467 restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3.
F2: Includes 60,610 shares held directly and 25,467 restricted stock units.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 05, 2020 Filed Mar 6, 2020 17:53 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Tax withholdingCommon Stock | 4,530 | $8.11 | $36,738.30 |
DisclosureSEC source: 0001209191-20-017007 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,077 F1 · kind: Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3. F2 · balance_after: Includes 60,610 shares held directly and 25,467 restricted stock units. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 16:36 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantRestricted Stock Unit · Derivative | 39,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-016113 · doc4.xml · derivative · entry 3 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,000 Underlying: Common Stock · 39,000 shares Expires 2022-03-02 F4 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Common Stock. The RSUs are subject to performance conditions and if such performance conditions are met, will vest in two equal amounts on March 2, 2021 and March 2, 2022. F5 · price: Company granted restricted stock units ("RSUs") issued pursuant to a Rule 16b-3 plan. F4 · derivative.exercise_date: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Common Stock. The RSUs are subject to performance conditions and if such performance conditions are met, will vest in two equal amounts on March 2, 2021 and March 2, 2022. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 16:36 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Tax withholdingCommon Stock | 10,166 | $8.98 | $91,290.68 |
DisclosureSEC source: 0001209191-20-016113 · doc4.xml · nonDerivative · entry 2 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,607 F2 · kind: Shares were withheld as payment of a tax liability incident to vesting of restricted stock awards and restricted stock units issued in accordance with Rule 16b-3. F3 · balance_after: Includes 55,240 shares held directly and 35,367 restricted stock units. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 16:36 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Disposition to issuerCommon Stock | 9,442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016113 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,773 F1 · kind: Forfeiture of shares of common stock previously granted on March 2, 2017 pursuant to restricted stock award as a result of actual performance achievement below maximum. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 16:39 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Tax withholdingCommon Stock | 5,733 | $11.32 | $64,897.56 |
DisclosureSEC source: 0001209191-19-052256 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,215 F1 · kind: Shares were withheld as payment of a tax liability incident to vesting of restricted stock award issued in accordance with Rule 16b-3. F2 · balance_after: Includes 44,613 shares held directly, 20,100 shares of restricted stock awards subject to performance vesting and 45,502 restricted stock units. Read SEC document |
| March 05, 2019 Filed Mar 5, 2019 20:31 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantEmployee Stock Option (Right to Buy) · Derivative | 22,500 | Not disclosed Strike: $14.15 | Not disclosed |
DisclosureSEC source: 0001209191-19-017176 · doc4.xml · derivative · entry 3 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2029-03-04 F5 · price: Company granted option issued pursuant to Rule 16b-3 Plan. F4 · derivative.exercise_date: The option vests in four equal annual installments beginning on March 5, 2020. Read SEC document |
| March 05, 2019 Filed Mar 5, 2019 20:31 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantCommon Stock | 29,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-017176 · doc4.xml · nonDerivative · entry 2 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,948 F2 · price: Company granted restricted stock units ("RSUs") issued pursuant to a Rule 16b-3 plan. The RSUs vest three equal annual installments beginning on March 5, 2020. F3 · balance_after: Includes 38,639 shares held directly, 20,100 shares of restricted stock awards subject to performance vesting, 11,707 shares of restricted stock awards subject to time vesting and 45,502 RSUs. Read SEC document |
| March 02, 2019 Filed Mar 5, 2019 20:31 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Tax withholdingCommon Stock | 8,136 | $14.65 | $119,192.40 |
DisclosureSEC source: 0001209191-19-017176 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,248 F1 · kind: Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:53 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Tax withholdingCommon Stock | 3,977 | $17.41 | $69,239.57 |
DisclosureSEC source: 0001209191-18-053886 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,384 F1 · kind: Shares were withheld as payment of a tax liability incident to vesting of restricted stock award issued in accordance with Rule 16b-3. F2 · balance_after: Includes 23,542 shares held directly, 20,100 shares of restricted stock awards subject to performance vesting, 11,707 shares of restricted stock awards subject to time vesting and 39,035 RSUs. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 17:27 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantEmployee Stock Option (Right to Buy) · Derivative | 33,800 | Not disclosed Strike: $17.65 | Not disclosed |
DisclosureSEC source: 0001209191-18-017381 · doc4.xml · derivative · entry 3 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,800 Underlying: Common Stock · 33,800 shares Expires 2028-03-01 F5 · price: Company granted option issued pursuant to Rule 16b-3 Plan. F4 · derivative.exercise_date: The option vests in four equal annual installments beginning on March 2, 2019. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 17:27 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantCommon Stock | 17,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-017381 · doc4.xml · nonDerivative · entry 2 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,361 F2 · price: Company granted restricted stock units ("RSUs") issued pursuant to a Rule 16b-3 plan. The RSUs vest three equal annual installments beginning on March 2, 2019. F3 · balance_after: Includes 15,812 shares held directly, 20,100 shares of restricted stock awards subject to performance vesting, 23,414 shares of restricted stock awards subject to time vesting and 39,035 RSUs. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 17:27 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Tax withholdingCommon Stock | 5,080 | $17.65 | $89,662.00 |
DisclosureSEC source: 0001209191-18-017381 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,361 F1 · kind: Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 19:49 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantEmployee Stock Option (Right to Buy) · Derivative | 19,300 | Not disclosed Strike: $22.35 | Not disclosed |
DisclosureSEC source: 0001209191-17-018514 · doc4.xml · derivative · entry 4 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,300 Underlying: Common Stock · 19,300 shares Expires 2027-03-01 F6 · price: Company granted option issued pursuant to Rule 16b-3 Plan. F5 · derivative.exercise_date: The option vests in four equal annual installments beginning on March 2, 2018. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 19:49 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantCommon Stock | 13,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-018514 · doc4.xml · nonDerivative · entry 3 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,441 F3 · price: Company granted restricted stock units ("RSUs") issued pursuant to a Rule 16b-3 plan. The RSUs vest three equal annual installments beginning on March 2, 2018. F4 · balance_after: Includes 6,314 shares held directly, 43,514 shares of RSAs subject to performance vesting and 36,613 RSUs. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 19:49 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantCommon Stock | 20,100 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-018514 · doc4.xml · nonDerivative · entry 2 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,041 F2 · price: Company granted restricted stock awards ("RSAs") issued pursuant to a Rule 16b-3 plan. RSAs are subject to a three year free cash flow performance target with respect to 70% of the award and a three year net sales performance target with respect to 30% of the award, and if such performance targets are met, the RSAs will vest in full upon certification of performance. Stock granted pursuant to the RSAs could range from 50% if the threshold target is met to 150% if performance meets specified levels. The amount reported above reflects 150% and will be cut back based upon performance levels accordingly. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 19:49 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | Tax withholdingCommon Stock | 630 | $22.35 | $14,080.50 |
DisclosureSEC source: 0001209191-17-018514 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,941 F1 · kind: Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3. Read SEC document |
| December 08, 2016 Filed Dec 8, 2016 18:16 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantCommon Stock | 1,449 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-154239 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,571 F1 · shares: Reflects the number of shares of Donnelley Financial Solutions, Inc. ("DFS") common stock underlying time-based restricted stock units ("RSUs") resulting from an equitable adjustment of performance share units on December 8, 2016, pursuant to the Separation and Distribution Agreement by and among R. R. Donnelley & Sons Company ("RRD"), LSC Communications, Inc. and DFS, following the measurement and certification of RRD performance through September 30, 2016 by the RRD Human Resources Committee. All RSUs will vest in full on March 2, 2018, subject to continued employment with DFS. The performance share units and resulting RSUs are company granted units issued pursuant to Rule 16b-3 Plans. F1 · price: Reflects the number of shares of Donnelley Financial Solutions, Inc. ("DFS") common stock underlying time-based restricted stock units ("RSUs") resulting from an equitable adjustment of performance share units on December 8, 2016, pursuant to the Separation and Distribution Agreement by and among R. R. Donnelley & Sons Company ("RRD"), LSC Communications, Inc. and DFS, following the measurement and certification of RRD performance through September 30, 2016 by the RRD Human Resources Committee. All RSUs will vest in full on March 2, 2018, subject to continued employment with DFS. The performance share units and resulting RSUs are company granted units issued pursuant to Rule 16b-3 Plans. F2 · balance_after: Includes 5,127 shares held directly, 23,414 shares of restricted stock and 25,030 restricted stock units. Read SEC document |
| October 01, 2016 Filed Oct 4, 2016 17:52 UTC | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-030931 · doc4.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,127 F1 · shares: Thomas F. Juhase has been awarded restricted stock with a value of $530,000 by Donnelley Financial Solutions, Inc. ("DFS"). The number of shares of common stock owned does not reflect the award of such restricted stock because the number of restricted shares awarded will be based on a ten trading day value weighted average price of DFS common stock following the date of grant. F1 · balance_after: Thomas F. Juhase has been awarded restricted stock with a value of $530,000 by Donnelley Financial Solutions, Inc. ("DFS"). The number of shares of common stock owned does not reflect the award of such restricted stock because the number of restricted shares awarded will be based on a ten trading day value weighted average price of DFS common stock following the date of grant. Read SEC document |
| October 01, 2016 Filed Oct 18, 2016 19:30 UTC Amendment | Donnelley Financial Solutions, Inc. DFIN · Entity 2289 | GrantCommon Stock | 23,414 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-031872 · doc4a.xml · nonDerivative · entry 1 Juhase Thomas F · CIK 0001685398 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,122 F1 · shares: Reporting Person is filing an amendment to his Form 4, which was filed on October 4, 2016, in order to update the number of securities acquired and the amount of securities beneficially owned following the Reported Transaction. On October 1, 2016, Thomas F. Juhase was awarded restricted stock with a value of $530,000 by Donnelley Financial Solutions, Inc. ("DFS"). Such grant represents 23,414 shares of restricted stock calculated based on the ten trading day volume weighted average price of DFS common stock following the date of grant. Mr. Juhase's beneficial ownership of securities also reflects 5,127 shares of common stock owned prior to the grant of restricted stock as well as 23,581 restricted stock units held prior to the date of the Reported Transaction (after giving effect to the distribution by R. R. Donnelley & Sons Company of 80.75% of the common stock of LSC Communications, Inc. and DFS, which occurred on October 1, 2016.) F1 · balance_after: Reporting Person is filing an amendment to his Form 4, which was filed on October 4, 2016, in order to update the number of securities acquired and the amount of securities beneficially owned following the Reported Transaction. On October 1, 2016, Thomas F. Juhase was awarded restricted stock with a value of $530,000 by Donnelley Financial Solutions, Inc. ("DFS"). Such grant represents 23,414 shares of restricted stock calculated based on the ten trading day volume weighted average price of DFS common stock following the date of grant. Mr. Juhase's beneficial ownership of securities also reflects 5,127 shares of common stock owned prior to the grant of restricted stock as well as 23,581 restricted stock units held prior to the date of the Reported Transaction (after giving effect to the distribution by R. R. Donnelley & Sons Company of 80.75% of the common stock of LSC Communications, Inc. and DFS, which occurred on October 1, 2016.) Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.