Statement of Changes in Beneficial Ownership (4)
January 30 2020 - 4:55PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
TREMBLAY Richard Joseph |
2. Issuer Name and Ticker or Trading Symbol
Resolute Forest Products Inc.
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RFP
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, operations |
(Last)
(First)
(Middle)
111 ROBERT-BOURASSA BOULEVARD, SUITE 5000 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/28/2020 |
(Street)
MONTREAL, A8 H3C 2M1
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/28/2020 | | A | | 64994.83 | A | (1) | 252649.88 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Dividend Equivalent Units | (2) | 1/28/2020 | | A | | 11429.34 | | (2) | (2) | Common Stock | 11429.34 | (2) | 18971.9 | D | |
Explanation of Responses: |
(1) | Represents shares entitled to be received pursuant to the satisfaction of performance criteria for previously awarded performance stock units that vested on January 28, 2020. |
(2) | Represents additional Performance Share Units ("PSUs") resulting from the adjustment on December 20, 2018 of outstanding unvested PSUs in connection with the payment of the special cash dividend approved by the issuer's board of directors on October 31, 2018 pursuant to the terms of Resolute Forest Products Equity Incentive Plan. These additional PSUs will settle in cash and are subject to the original vesting schedule and performance criteria in place with respect to the PSUs giving rise to the award adjustment. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TREMBLAY Richard Joseph 111 ROBERT-BOURASSA BOULEVARD SUITE 5000 MONTREAL, A8 H3C 2M1 |
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| SVP, operations |
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Signatures
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/S/ Stephanie Leclaire, as attorney-in-fact | | 1/30/2020 |
**Signature of Reporting Person | Date |
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