-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KqGLqmcgY4e4AOBbUKSpOC3AMx1/k8RSEpKCtayT3d/8M5gLze+PCbsDRDZI2stR Zk2v1vYwVTB622qf7pNpDg== 0001047469-98-009955.txt : 19980317 0001047469-98-009955.hdr.sgml : 19980317 ACCESSION NUMBER: 0001047469-98-009955 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980131 FILED AS OF DATE: 19980316 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MERRILL CORP CENTRAL INDEX KEY: 0000790406 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL PRINTING [2750] IRS NUMBER: 410946258 STATE OF INCORPORATION: MN FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-14082 FILM NUMBER: 98566032 BUSINESS ADDRESS: STREET 1: ONE MERRILL CIRCLE STREET 2: ENERGY PARK CITY: ST PAUL STATE: MN ZIP: 55108 BUSINESS PHONE: 6126464501 FORMER COMPANY: FORMER CONFORMED NAME: MERRILL CORP/FA DATE OF NAME CHANGE: 19930915 COMPANY DATA: COMPANY CONFORMED NAME: LAREAU RICHARD G CENTRAL INDEX KEY: 0001012907 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 45 SOUTH 7TH ST PLAZA VII STREET 2: STE 3400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 MAIL ADDRESS: STREET 1: MERRILL CORPORATION STREET 2: ONE MERRILL CIRCLE CITY: ST PAUL STATE: MN ZIP: 55108 5 1 FORM 5
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 5 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- / / CHECK BOX IF NO LONGER ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0362 SUBJECT TO SECTION 16. EXPIRES: SEPTEMBER 30, 1998 FORM 4 OR FORM 5 OBLI- Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN GATIONS MAY CONTINUE. Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 1.0 SEE INSTRUCTION 1(b). Section 30(f) of the Investment Company Act of 1940 ----------------------------- / / FORM 3 HOLDINGS REPORTED / / FORM 4 TRANSACTIONS REPORTED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner ---- ---- Lareau Richard G. Merrill Corporation (MRLL) - ------------------------------------------------------------------------------------------- Officer (give Other (specify (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- title ---- below) Number of Reporting Month/Year below) Person (Voluntary) -------------------------- Plaza VII, Suite 3400 45 South Seventh Street 01/1998 - ------------------------------------------- ------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Reporting Date of Original (check applicable line) (Month/Year) X Form Filed by One Reporting Person --- Form filed by More than One Reporting Person Minneapolis, MN 55402 --- - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) Owned at Direct Ownership (Month/ end of (D) or (Instr. 4) Day/ ------------------------------ Issuer's Indirect Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1-23-98 G 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1-23-98 G 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1-23-98 G 500 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1-23-98 G 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1-23-98 G 500 D 114,302(1) D - ------------------------------------------------------------------------------------------------------------------------------------ 20,000(1) I By Spouse - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one reporting person, see instruction 4(b)(v). (Over) SEC 2270 (7/97) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
FORM 5 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- (Instr. 3) sion of action action Derivative cisable and Exercise Date Code Securities Ac- Expiration Price of (Month/ (Instr. 8) quired (A) or Date Deriv- Day/ Disposed of Month/Day/ ative Year) (D) Year) Security (Instr. 3, 4, and 5) -------------------- Date Expir- ---------------------- Exer- ation cisable Date (A) (D) - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Na- lying Securities of of Deriv- ship ture of (Instr. 3 and 4) Deriv- ative of Indirect ative Secur- Deriv- Bene- Secur- ities ative ficial ity Bene- Secur- Owner- (Instr. ficially ity: ship 5) Owned Direct (Instr. 4) - ------------------------------------ at End (D) of Year or In- Amount or (Instr. 4) direct Title Number of (I) Shares (Instr. 4) - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: (1) On October 15, 1997, the common stock of Merrill Corporation split 2-for-1 in the form of a 100% stock dividend. As a result, the reporting person received 59,151 shares of Merrill Corporation common stock and the reporting person's spouse received 10,000 shares of Merrill Corporation common stock. The reporting person disclaims beneficial ownership of securities owned by spouse. /s/ Richard G. Lareau 3-16-98 ----------------------------------- ----------- **Intentional misstatements or omissions of facts constitute **Signature of Reporting Person Date 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 provided is insufficient, SEE Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 SEC 2270 (7-97)
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