Initial Statement of Beneficial Ownership (3)
June 11 2019 - 5:48PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
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Kilgour Lori
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/3/2019
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3. Issuer Name
and
Ticker or Trading Symbol
Resolute Forest Products Inc. [RFP]
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(Last)
(First)
(Middle)
111 ROBERT-BOURASSA, SUITE 5000
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
SVP, Chief Information Officer /
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(Street)
MONTREAL, A8 H3C 2M1
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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10700
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D
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Common Stock
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2592
(1)
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D
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Common Stock
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10088
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Options (right to buy)
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11/6/2014
(3)
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11/6/2023
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Common Stock
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10291
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$15.66
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D
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Restricted Share Units
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(4)
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(4)
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Common Stock
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8424
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(4)
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D
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Restricted Share Units
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(5)
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(5)
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Common Stock
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8997
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(5)
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D
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Explanation of Responses:
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(1)
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This reporting person was awarded restricted stock units, each representing a contingent right to receive one share of Resolute Forest Products Inc. common stock. The award can not be settled in cash. The restricted stock units vest in four equal annual installments beginning on November 9, 2016. The number of securities represent the remaining installment.
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(2)
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This reporting person was awarded restricted stock units, each representing a contingent right to receive one share of Resolute Forest Products Inc. common stock. The award can not be settled in cash. The restricted stock units vest in four equal annual installments beginning on November 14, 2017. The number of securities represent the remaining installments.
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(3)
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The options vested in four equal installments beginning on November 6, 2014.
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(4)
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This reporting person was awarded restricted stock units, each representing a contingent right to receive the economic equivalent of one share of Resolute Forest Products Inc. common stock in cash upon settlement. The restricted stock units vest, and settle in cash, in four equal annual installments beginning on December 1, 2018. The number of securities represent the remaining installments.
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(5)
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This reporting person was awarded restricted stock units, each representing a contingent right to receive the economic equivalent of one share of Resolute Forest Products Inc. common stock in cash upon settlement. The restricted stock units vest, and settle in cash, in four equal annual installments beginning on December 1, 2019. The number of securities represent the remaining installments.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kilgour Lori
111 ROBERT-BOURASSA
SUITE 5000
MONTREAL, A8 H3C 2M1
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SVP, Chief Information Officer
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Signatures
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/S/Stephanie Leclaire, as attorney-in-fact
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6/11/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who 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.
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