-----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, TcMciG67Joqk+uV7q8LI/N5AlGNcNMewM3idYCMCSd58d4Fl1hgq9nwonJyaLc8l 1Z1ncSDbVXf0D0dDFS8gEQ== 0001047469-99-019124.txt : 19990511 0001047469-99-019124.hdr.sgml : 19990511 ACCESSION NUMBER: 0001047469-99-019124 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990430 FILED AS OF DATE: 19990510 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: 4 SEC ACT: SEC FILE NUMBER: 000-14082 FILM NUMBER: 99616211 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: ROSSI MARK A CENTRAL INDEX KEY: 0001078549 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O MERRILL CORP STREET 2: 250 SOUTH WACKER DRIVE SUITE 400 CITY: CHICAGO STATE: IL ZIP: 60606 MAIL ADDRESS: STREET 1: C/O MERRILL CORP STREET 2: 250 SOUTH WACKER DRIVE SUITE 400 CITY: CHICAGO STATE: IL ZIP: 60606 4 1 FORM-4
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- / / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 LONGER SUBJECT TO EXPIRES: SEPTEMBER 30, 1998 SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 0.5 CONTINUE. SEE Section 30(f) of the Investment Company Act of 1940 ----------------------------- INSTRUCTION 1(b). (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 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) Director 10% Owner Rossi Mark A. Merrill Corporation (MRLL) ---- ---- - --------------------------------------------------------------------------------------------- X Officer (give Other (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- title ---- (specify Number of Reporting Month/Year below) below) Person (Voluntary) President, Investment Company Services 250 South Wacker Drive, Suite 400 04/1999 ----------------- ------------------- - -------------------------------------------- --------------------- 7. Individual or Joint/Group Filing (Street) 5. If Amendment, (Check Applicable Line) Date of Original X Form filed by One Reporting Person (Month/Year) --- ___Form filed by More than One Chicago IL 60606 Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 8) Owned at Direct Bene- (Month/ End of (D) or ficial Day/ ------------------------------------------- Month Indirect Owner- Year) (A) or (I) ship Code V Amount (D) Price (Instr. 3 (Instr. 4) (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4-13-99 M 3,000 A $8.6875 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4-13-99 M 24,000 A $8.125 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4-13-99 M 13,500 A $8.125 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4-13-99 M 4,800 A $11.6875 45,300 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 (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 4 (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. Transac- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex- Exercise Date (Instr. 8) quired (A) or Dis- piration Date Price of (Month/ posed of (D) (Month/Day/ Deriv- Day/ (Instr. 3, 4, and 5) Year) ative Year) Security -------------------- Date Expira- -------------------------------------- Exer- tion cisable Date Code V (A) (D) - ------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) $8.6875 4-13-99 M 3,000 (1) 3-15-00 - ------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) $8.125 4-13-99 M 24,000 (2) 4-10-02 - ------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) $8.125 4-13-99 M 13,500 (3) 3-25-03 - ------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) $11.6875 4-13-99 M 4,800 (4) 4-23-02 - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Nature lying Securities of of Deriv- ship of In- (Instr. 3 and 4) Deriv- ative Form direct ative Securi- of De- Bene- Secur- ties rivative ficial ity Bene- Secu- Own- (Instr. ficially rity: ership 5) Owned Direct (Instr. 4) at End (D) or Amount or of Indi- Title Number of Month rect (I) Shares (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------ Common Stock 3,000 2,000 D - ------------------------------------------------------------------------------------------ Common Stock 24,000 16,000 D - ------------------------------------------------------------------------------------------ Common Stock 13,500 16,500 D - ------------------------------------------------------------------------------------------ Common Stock 4,800 19,200 D - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: (1) This option was granted under the Issuer's 1993 Stock Incentive Plan, as amended, and was exercisable in installments. The final installment of 2,000 shares is exercisable on September 15, 1999. (2) This option was granted under the Issuer's 1993 Stock Incentive Plan, as amended. The option is exercisable in three remaining installments: 6,000 shares each on April 10, 2000, and April 10, 2001; with the final installment of 4,000 shares exercisable on October 10, 2001. (3) This option was granted under the Issuer's 1993 Stock Incentive Plan, as amended. The option is exercisable in four remaining installments: 4,500 shares each on March 25, 2000, March 25, 2001, and March 25, 2002; with the final installment of 3,000 shares exercisable on September 25, 2002. (4) This option was granted under the Issuer's 1996 Non-Statutory Stock Option Plan, as amended. The option is exercisable in three remaining installments of 4,800 each on April 23, 2000, April 23, 2001, and October 23, 2001; with 4,800 shares currently exercisable. /s/ Mark A. Rossi 5-10-99 ----------------------------------- ----------- **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 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 1474 (7-97)
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