Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 9)*
Quad/Graphics, Inc.
(Name of Issuer)
Class A Common Stock
(Title of Class of Securities)
747301109
(CUSIP Number)
December 31, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP NO. 747301109
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1
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NAME OF REPORTING PERSONS
Quad/Graphics ESOP Trust
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
Not Applicable
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(a) ☐
(b) ☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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NUMBER OF
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5
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SOLE VOTING POWER
4,141,647
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6
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SHARED VOTING POWER
0
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7
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SOLE DISPOSITIVE POWER
4,141,647
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8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,141,647
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
Not Applicable
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☐ | |||
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
10.6% (1)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
EP
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| (1) |
The percent ownership calculated is based upon an aggregate of 39,233,448 shares outstanding as of December 31, 2019.
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2
CUSIP NO. 747301109
| Item 1(a). |
Name of Issuer:
|
Quad/Graphics, Inc.
| Item 1(b). |
Address of Issuer’s Principal Executive Offices:
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N61 W23044 Harry’s Way, Sussex, Wisconsin 53089-3995.
| Item 2(a). |
Name of Person Filing:
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Quad/Graphics ESOP Trust (the “ESOP”)
| Item 2(b). |
Address of Principal Business Office or, if none, Residence:
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c/o BMO Harris Bank N.A., 111 E. Kilbourn Ave. Suite 200, Milwaukee, WI 53202.
| Item 2(c). |
Citizenship:
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The ESOP is governed by the laws of the United States of America.
| Item 2(d). |
Title of Class of Securities:
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Class A Common Stock
| Item 2(e). |
CUSIP Number:
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747301109
| Item 3. |
If this statement is filed pursuant to sections 240.13d-1(b), or 240.13d-2(b) or
(c), check whether the person filing is a:
|
| (f) | ☒ An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). |
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CUSIP NO. 747301109
| Item 4. |
Ownership:
|
| (a) |
Amount Beneficially Owned: 4,141,647
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| (b) |
Percent of Class: 10.6%
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| (c) |
Number of shares as to which such person has:
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| (i) |
sole power to vote or to direct the vote: 4,141,647
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| (ii) |
shared power to vote or to direct the vote: 0
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| (iii) |
sole power to dispose or to direct the disposition of: 4,141,647
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| (iv) |
shared power to dispose or to direct the disposition of: 0
|
| Item 5. |
Ownership
of Five Percent or Less of a Class:
|
N/A
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person: |
N/A
| Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security
Being Reported on by the Parent Holding Company or Control Person:
|
N/A
| Item 8. | Identification and Classification of Members of the Group: |
N/A
| Item 9. |
Notice
of Dissolution of Group:
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N/A
4
CUSIP NO. 747301109
| Item 10. |
Certification:
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By signing below I certify that, to the best of my knowledge and belief, the securities referred
to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are
not held in connection with or as a participant in any transaction having that purpose or effect
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in
this statement is true, complete and correct.
Date: February 4, 2020
QUAD/GRAPHICS ESOP TRUST
BMO Harris Bank N.A., as Directed Trustee
By: /s/ Peter Madsen /s/
Andrew Paulus
Peter
Madsen Andrew Paulus
Vice
President Vice President
5