-----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, T+MPiGhbuyt3z7SmTqC19zLZ0sTYAEMltcmYHHpXFZ7jqd9M/V9cRltUX6Hm5Uzi wMENlQ2QTKt3lkudhNVYMA== 0001047469-99-019129.txt : 19990511 0001047469-99-019129.hdr.sgml : 19990511 ACCESSION NUMBER: 0001047469-99-019129 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: 99616235 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: LARKIN KATHLEEN A CENTRAL INDEX KEY: 0001044606 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: MERRILL CORPORATION STREET 2: ONE MERRILL CIRCLE CITY: ST PAUL STATE: MN ZIP: 55108 MAIL ADDRESS: STREET 1: MERRILL CORPORATION STREET 2: ONE MERRILL CIRCLE CITY: ST PAUL STATE: MN ZIP: 55108 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 Larkin Kathleen 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) Vice President -- Human Resources One Merrill Circle 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 St. Paul MN 55108 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 4-7-99 M 1,500 A $8.125 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4-7-99 M 4,000 A $8.125 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4-7-99 M 9,000 A $8.125 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4-7-99 M 2,760 A $12.625 19,360 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) $8.125(1) 4-7-99 M 1,500 (2) 4-10-02 - ------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) $8.125(1) 4-7-99 M 4,000 (3) 4-10-02 - ------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) $8.125(1) 4-7-99 M 9,000 (4) 3-25-03 - ------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) $12.625(1) 4-7-99 M 2,760 (5) 5-20-02 - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 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 1,500 5,500(1) D - ------------------------------------------------------------------------------------------ Common Stock 4,000 11,000(1) D - ------------------------------------------------------------------------------------------ Common Stock 9,000 11,000(1) D - ------------------------------------------------------------------------------------------ Common Stock 2,760 11,040(1) D - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: (1) Adjusted to reflect a 2-for-1 stock split in the form of a 100% stock dividend on October 15, 1997. (2) This option was granted under the Issuer's 1993 Stock Incentive Plan, as amended. The option is exercisable in three remaining installments: 1,500 shares each on April 10, 2000 and April 10, 2001; with the final installment of 1,000 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 three remaining installments: 3,000 shares each on April 10, 2000 and April 10, 2001; with the final installment of 2,000 shares exercisable on October 10, 2001. (4) This option was granted under the Issuer's 1993 Stock Incentive Plan, as amended. The option is exercisable in four remaining installments: 3,000 shares each on March 25, 2000, March 25, 2001 and March 25, 2002; with the final installment of 2,000 shares exercisable on September 25, 2002. (5) This option was granted under the Issuer's 1993 Stock Incentive Plan, as amended. The option is exercisable in four remaining installments of 2,760 shares each on May 20, 1999; May 20, 2000; May 20, 2001; and November 20, 2001. /s/ Kathleen A. Larkin 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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