SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol ACCO BRANDS Corp [ ACCO ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 04/30/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 04/30/2015 | M | 108,333 | A | $0.81 | 709,229 | D | |||
Common Stock | 04/30/2015 | F | 61,492 | D | $7.94 | 647,737 | D | |||
Common Stock | 04/30/2015 | M | 55,000 | A | $2.59 | 702,737 | D | |||
Common Stock | 04/30/2015 | S | 39,598 | D | $8(1) | 663,139 | D | |||
Common Stock(2) | 04/30/2015 | S | 6,864 | D | $7.94 | 656,275 | D | |||
Common Stock(2) | 04/30/2015 | S | 8,233 | D | $8 | 648,042 | D | |||
Common Stock(2) | 04/30/2015 | S | 8,250 | D | $7.92 | 639,792 | D | |||
Common Stock(2) | 04/30/2015 | S | 7,192 | D | $7.96 | 632,600 | D | |||
Common Stock(2) | 04/30/2015 | S | 7,192 | D | $8.05 | 625,408 | D | |||
Common Stock | 05/01/2015 | M | 50,000 | A | $2.59 | 675,408 | D | |||
Common Stock | 05/01/2015 | S | 38,854 | D | $8(1) | 636,554 | D | |||
Common Stock(2) | 05/01/2015 | S | 6,868 | D | $7.97 | 629,686 | D | |||
Common Stock(2) | 05/01/2015 | S | 6,869 | D | $7.96 | 622,817 | D | |||
Common Stock(2) | 05/01/2015 | S | 6,868 | D | $7.97 | 615,949 | D | |||
Common Stock(2) | 05/01/2015 | S | 6,868 | D | $7.97 | 609,081 | D | |||
Common Stock(2) | 05/01/2015 | S | 6,869 | D | $7.99 | 602,212 | D | |||
Common Stock | 05/04/2015 | S | 8,707 | D | $8.02(1) | 593,505 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: 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 | ||||||||
Stock Settled Stock Appreciation Rights(3) | $0.81 | 04/30/2015 | M | 108,333 | 02/26/2010 | 02/26/2016 | Common Stock | 108,333 | $0.00 | 0 | D | ||||
Stock Option (right to buy) | $2.59 | 04/30/2015 | M | 55,000 | 11/07/2009 | 11/07/2015 | Common Stock | 55,000 | $2.59 | 50,000 | D | ||||
Stock Option (right to buy) | $2.59 | 05/01/2015 | M | 50,000 | 11/07/2009 | 11/07/2015 | Common Stock | 50,000 | $2.59 | 0 | D |
Explanation of Responses: |
1. This price reflects the weighted average sale price for the shares, which were sold in multiple transactions. Upon request of the SEC staff, the issuer, or a security holder of the issuer, the reporting person will provide information regarding the number of shares sold at each separate price. |
2. Common stock sold to cover exercise price and income tax withholding related to stock options exercised. |
3. Stock settled stock appreciation rights granted under the Issuer's 2005 Incentive Plan. One-third of original grant vested annually, and all rights are currently vested. Rights expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan. |
Remarks: |
Mr. Keller retired as an executive officer of the Company in March 2015 and as the Company's CEO in March 2013. As CEO, he was required by the Company's stock ownership guidelines to own Company stock with a value equal to at least six times his annual salary. As a non-employee director, Mr. Keller is required to own Company stock with a value at least equal to three times his annual cash retainer. While Mr. Keller intends to maintain a position in Company stock in excess of the stock ownership guidelines, he plans to sell Company stock in a series of quarterly transactions to diversify his investment portfolio as part of retirement planning. |
Pamela R. Schneider, Attorney-in-fact for Robert J. Keller | 05/04/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |