Statement of Changes in Beneficial Ownership (4)
15 Abril 2014 - 2:18PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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
*
Last Will & Testament of John Q. Sherman fbo James Louis Sherman
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2. Issuer Name
and
Ticker or Trading Symbol
STANDARD REGISTER CO
[
SR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
147 BEVERLY PLACE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/11/2014
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(Street)
DAYTON, OH 45419
(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)
___ Form filed by One Reporting Person
_
X
_ 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
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4/11/2014
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S
(1)
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600
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D
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$8.05
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183683
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D
(3)
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Common Stock
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4/11/2014
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S
(1)
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600
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D
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$8.05
(2)
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183683
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D
(5)
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Common Stock
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4/11/2014
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S
(1)
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600
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D
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$8.05
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183683
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D
(6)
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Common Stock
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4/11/2014
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S
(1)
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600
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D
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$8.3
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183683
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D
(7)
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Common Stock
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4/11/2014
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S
(1)
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600
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D
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$8
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183683
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D
(8)
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Common Stock
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4/11/2014
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S
(1)
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600
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D
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$8
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183683
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D
(9)
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Class A Stock
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83895
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D
(4)
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Class A Stock
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83895
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D
(5)
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Class A Stock
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83895
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D
(6)
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Class A Stock
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83895
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D
(7)
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Class A Stock
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83895
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D
(8)
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Class A Stock
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83895
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D
(9)
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Explanation of Responses:
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(
1)
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On February 26, 2014, each of the John Q. Sherman Trusts (as defined below) entered into a separate Rule 10b5-1 trading plan. Each sale reported in this Form 4 was effected pursuant to the applicable trust's Rule 10b5-1 trading plan.
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(
2)
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The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.30, inclusive. The applicable reporting person undertakes to provide The Standard Register Company, any security holder of The Standard Register Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4.
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(
3)
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These securities are owned solely by the trust established under the Last Will and Testament of John Q. Sherman fbo William Patrick Sherman, which may be deemed to be a member of a "group" for purposes of Section 13(d) under the Exchange Act with the trust established under the Last Will and Testament of John Q. Sherman fbo Helen Louise Sherman Tormey, the trust established under the Last Will and Testament of John Q. Sherman fbo Patricia Lucille Sherman Begley, the trust established under the Last Will and Testament of John Q. Sherman fbo Mary Catherine Sherman Newshawg, the trust established under the Last Will and Testament of John Q. Sherman fbo Charles Francis Sherman, and the trust established under the Last Will and Testament of John Q. Sherman fbo James Louis Sherman. These six trusts are sometimes referred to collectively in this Form 4 as the "John Q. Sherman Trusts".
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(
4)
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These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo William Patrick Sherman.
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(
5)
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These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Helen Louise Sherman Tormey.
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(
6)
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These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Patricia Lucille Sherman Begley.
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(
7)
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These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Mary Catherine Sherman Newshawg.
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(
8)
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These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Charles Francis Sherman.
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(
9)
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These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo James Louis Sherman.
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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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Last Will & Testament of John Q. Sherman fbo James Louis Sherman
147 BEVERLY PLACE
DAYTON, OH 45419
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X
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Last Will & Testament of John Q. Sherman fbo Helen Louise Sherman Tormey
147 BEVERLY PLACE
DAYTON, OH 45419
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X
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Last Will & Testament of John Q. Sherman fbo Patricia Lucille Sherman Begley
147 BEVERLY PLACE
DAYTON, OH 45419
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X
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Last Will & Testament of John Q. Sherman fbo Mary Catherine Sherman Newshawg
147 BEVERLY PLACE
DAYTON, OH 45419
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X
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Last Will & Testament of John Q. Sherman fbo Charles Francis Sherman
147 BEVERLY PLACE
DAYTON, OH 45419
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X
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Last Will & Testament of John Q. Sherman fbo William Patrick Sherman
147 BEVERLY PLACE
DAYTON, OH 45419
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X
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Signatures
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Arthur F. McMahon, III, attorney-in-fact
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4/15/2014
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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 4(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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