Amended Statement of Changes in Beneficial Ownership (4/a)
November 16 2017 - 7:46AM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
GARNEAU RICHARD
|
2. Issuer Name
and
Ticker or Trading Symbol
Resolute Forest Products Inc.
[
RFP
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO
|
(Last)
(First)
(Middle)
111 DUKE STREET, SUITE 5000
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/9/2017
|
(Street)
MONTREAL, A8 H3C 2M1
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
11/13/2017
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Restricted Stock Units
|
(1)
|
11/9/2017
(2)
|
|
F
|
|
|
19841
|
(1)
|
(1)
|
Common Stock
|
19841
|
$8.93
|
365009
|
D
|
|
Explanation of Responses:
|
(1)
|
On November 9, 2015, this reporting person was awarded restricted stock units (each an "RSU"), each representing a contingent right to receive one share of Resolute Forest Products Inc. (the "Company") common stock. The terms of such RSUs provide that they vest in four equal annual instalments, and may be settled in cash as necessary to ensure that the number of shares of common stock issued to the reporting person do not exceed the annual limits on the maximum number of shares that may be issued to any one participant during any one-calendar-year period pursuant to the Resolute Forest Products Equity Incentive Plan.
|
(2)
|
This transaction was originally reported on Table I of Form 4 on November 13, 2017, but should have been reported on Table 2, as these RSUs permit cash settlement as necessary to ensure that the number of shares of common stock issued to the reporting person do not exceed the annual limits on the maximum number of shares that may be issued to any one participant during any one-calendar-year period pursuant to the Resolute Forest Products Equity Incentive Plan. This transaction was settled in Common Stock.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
GARNEAU RICHARD
111 DUKE STREET
SUITE 5000
MONTREAL, A8 H3C 2M1
|
X
|
|
President & CEO
|
|
Signatures
|
/s/ Eugene M Fisher-Haydis, as attorney-in-fact
|
|
11/16/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute 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.
|
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.
|
Resolute Forest Products (NYSE:RFP)
Historical Stock Chart
From Aug 2024 to Sep 2024
Resolute Forest Products (NYSE:RFP)
Historical Stock Chart
From Sep 2023 to Sep 2024