SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 03/30/2015 | 3. Issuer Name and Ticker or Trading Symbol ACCO BRANDS Corp [ ACCO ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 18,814 | D | |
Common Stock | 3,522 | I | In 401(k) Plan |
Common Stock | 1,201 | I | By Spouse |
Common Stock | 5,973 | I | By Spouse in 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units(1) | (1) | (1) | Common Stock | 4,917 | 0.00 | D | |
Restricted Stock Units(2) | (2) | (2) | Common Stock | 6,138 | 0.00 | D | |
Restricted Stock Units(3) | (3) | (3) | Common Stock | 7,402 | 0.00 | D | |
Restricted Stock Units(4) | (4) | (4) | Common Stock | 3,200 | 0.00 | D | |
Stock Option (right to buy)(5) | (5) | 03/04/2022 | Common Stock | 24,536 | 7.51 | D | |
Stock Option (right to buy)(6) | (6) | 05/18/2018 | Common Stock | 7,000 | 8.93 | D | |
Stock Option (right to buy)(7) | (7) | 02/23/2019 | Common Stock | 7,285 | 12.17 | D | |
Stock Option (right to buy)(8) | (8) | 02/21/2020 | Common Stock | 13,590 | 7.64 | D | |
Stock Option (right to buy)(9) | (9) | 03/05/2021 | Common Stock | 18,434 | 6.12 | D | |
Stock Settled Stock Appreciation Rights(10) | (10) | 02/26/2016 | Common Stock | 10,000 | 0.81 | D |
Explanation of Responses: |
1. Restricted Stock Units (RSUs) granted under the Issuer's Amended and Restated 2011 Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock on February 21, 2016 provided the Reporting Person remains employed by the Issuer at that time, subject to acceleration as provided in said Plan. |
2. Restricted Stock Units (RSUs) granted under the Issuer's Amended and Restated 2011 Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock on March 5, 2017 provided the Reporting Person remains employed by the Issuer at that time, subject to acceleration as provided in said Plan. |
3. Restricted Stock Units (RSUs) granted under the Issuer's Amended and Restated 2011 Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock on March 4, 2018 provided the Reporting Person remains employed by the Issuer at that time, subject to acceleration as provided in said Plan. |
4. Restricted Stock Units (RSUs) granted under the Issuer's Amended and Restated 2011 Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock on May 15, 2015 provided the Reporting Person remains employed by the Issuer at that time, subject to acceleration as provided in said Plan. |
5. Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on March 4, 2016. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan. |
6. Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on May 18, 2012. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan. |
7. Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on February 23, 2013. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan. |
8. Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on February 21, 2014. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan. |
9. Nonqualified employee stock options granted under the Issuer's Amended and Restated 2011 Incentive Plan. One-third of original grant vests annually beginning on March 5, 2015. Options expire seven years from the grant date, if not earlier terminated or exercised in full, subject to acceleration as provided in said Plan. |
10. 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: |
/s/ Pamela R. Schneider, Attorney-in-fact for Kathleen D. Schnaedter | 04/07/2015 | |
** 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 5 (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. |