| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | DFIN | Common Stock | Options Exercise | $21.4K | +1.21K | +0.9% | $17.65 | 136K | Aug 29, 2023 | Direct | F1 |
| transaction | DFIN | Common Stock | Sale | -$60K | -1.21K | -0.89% | $49.51 | 135K | Aug 29, 2023 | Direct | F1, F2 |
| transaction | DFIN | Common Stock | Options Exercise | $64.7K | +3.66K | +2.71% | $17.65 | 139K | Aug 30, 2023 | Direct | F1 |
| transaction | DFIN | Common Stock | Sale | -$181K | -3.66K | -2.64% | $49.53 | 135K | Aug 30, 2023 | Direct | F1, F3 |
| transaction | DFIN | Common Stock | Options Exercise | $237K | +13.4K | +9.95% | $17.65 | 149K | Aug 31, 2023 | Direct | F1 |
| transaction | DFIN | Common Stock | Sale | -$668K | -13.4K | -9.05% | $49.65 | 135K | Aug 31, 2023 | Direct | F1, F4, F5 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | DFIN | Employee Stock Option (right to buy) | Options Exercise | $0 | -1.21K | -6.09% | $0.00 | 18.7K | Aug 29, 2023 | Common Stock | 1.21K | $17.65 | Direct | F1, F6 |
| transaction | DFIN | Employee Stock Option (right to buy) | Options Exercise | $0 | -3.66K | -19.61% | $0.00 | 15K | Aug 30, 2023 | Common Stock | 3.66K | $17.65 | Direct | F1, F6 |
| transaction | DFIN | Employee Stock Option (right to buy) | Options Exercise | $0 | -13.4K | -89.52% | $0.00 | 1.58K | Aug 31, 2023 | Common Stock | 13.4K | $17.65 | Direct | F1, F6 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | The exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 27, 2022. |
| F2 | The reported price represents a weighted average sale price. The range of prices at which common stock was sold was $49.50 to $40.54 per share. The Reporting Person undertakes to provide to the staff, the issuer or a security holder full information regarding the number of shares sold at each separate price. |
| F3 | The reported price represents a weighted average sale price. The range of prices at which common stock was sold was $49.50 to $40.68 per share. The Reporting Person undertakes to provide to the staff, the issuer or a security holder full information regarding the number of shares sold at each separate price. |
| F4 | The reported price represents a weighted average sale price. The range of prices at which common stock was sold was $49.50 to $40.81 per share. The Reporting Person undertakes to provide to the staff, the issuer or a security holder full information regarding the number of shares sold at each separate price. |
| F5 | Includes 73,679 shares held directly, 30,173 restricted stock unit, and 31,353 earned performance share units with additional service-based vesting. |
| F6 | The option vests/ vested in four equal annual installments beginning on March 2, 2019. |
Exhibit Index Exhibit 24 - Power of Attorney