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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Employee Stock Option (right-to-buy) | $ 17.975 | 07/01/2015 | A | 33,400 | (4) | 05/10/2017 | Class A Common Stock | 33,400 | $ 0 | 33,400 | D | ||||
| Employee Stock Option (right-to-buy) | $ 14.55 | 07/01/2015 | A | 44,000 | (4) | 03/19/2018 | Class A Common Stock | 44,000 | $ 0 | 44,000 | D | ||||
| Employee Stock Option (right-to-buy) | $ 13.215 | 07/01/2015 | A | 40,000 | (4) | 03/18/2019 | Class A Common Stock | 40,000 | $ 0 | 40,000 | D | ||||
| Employee Stock Option (right-to-buy) | $ 21.345 | 07/01/2015 | A | 19,000 | (4) | 01/29/2020 | Class A Common Stock | 19,000 | $ 0 | 19,000 | D | ||||
| Employee Stock Option (right-to-buy) | $ 34.325 | 07/01/2015 | A | 14,200 | (4) | 02/28/2021 | Class A Common Stock | 14,200 | $ 0 | 14,200 | D | ||||
| Employee Stock Option (right-to-buy) | $ 31.03 | 07/01/2015 | A | 1,800 | (4) | 07/20/2021 | Class A Common Stock | 1,800 | $ 0 | 1,800 | D | ||||
| Employee Stock Option (right-to-buy) | $ 31.695 | 07/01/2015 | A | 23,350 | (4) | 02/01/2012 | Class A Common Stock | 23,350 | $ 0 | 23,350 | D | ||||
| Employee Stock Option (right-to-buy) | $ 39.9 | 07/01/2015 | A | 18,560 | 01/25/2013(5) | 01/25/2023 | Class A Common Stock | 18,560 | $ 0 | 18,560 | D | ||||
| Employee Stock Option (right-to-buy) | $ 50.74 | 07/01/2015 | A | 42,720 | (4) | 01/31/2024 | Class A Common Stock | 42,720 | $ 0 | 42,720 | D | ||||
| Employee Stock Option (right-to-buy) | $ 64.9 | 07/01/2015 | A | 38,780 | 03/09/2015(6) | 03/09/2025 | Class A Common Stock | 38,780 | $ 0 | 38,780 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| VOORHEES STEVEN C 504 THRASHER STREET NORCROSS, GA 30071 |
X | CEO | ||
| Robert B. McIntosh (Attorney-in-fact pursuant to power of attorney previously filed with SEC) | 07/01/2015 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | "On July 1, 2015, WestRock Company ("WestRock", formerly Rome-Milan Holdings, Inc.), Rock-Tenn Company ("RockTenn") and MeadWestvaco Corporation ("MWV") consummated a business combination transaction (the "Combination"), as a result of which RockTenn and MWV each became a direct wholly owned subsidiary of WestRock. Pursuant to the terms of the Second Amended and Restated Business Combination Agreement, dated as of April 17, 2015 and amended as of May 5, 2015, by and among WestRock, RockTenn, MWV, Rome Merger Sub, Inc. and Milan Merger Sub, LLC, (i) each share of RockTenn Class A common stock issued and outstanding immediately prior to the effective time of the Combination was cancelled and converted into the right to receive, at the election of the RockTenn shareholder (but subject to certain proration procedures), |
| (2) | either (A) one share of WestRock common stock or (B) cash in an amount equal to the volume weighted average price per share of RockTenn common stock on the New York Stock Exchange for the consecutive period over the five trading days immediately preceding (but not including) the third trading day prior to the effective time of the Combination, and (ii) each share of MWV common stock issued and outstanding immediately prior to the effective time of the Combination was cancelled and converted into the right to receive 0.78 shares of WestRock common stock (the "MWV Exchange Ratio"). |
| (3) | Equity-based awards granted pursuant to RockTenn plans and MWV plans that were outstanding immediately prior to the effective time of the Combination were converted into corresponding awards in respect of WestRock common stock at the effective time of the Combination, subject to the same terms and conditions (including applicable vesting requirements) as were applicable to such awards prior to the consummation of the Combination; provided, that equity-based awards granted pursuant to MWV plans were adjusted to reflect the MWV Exchange Ratio." |
| (4) | These options are fully exercisable. |
| (5) | Options will vest on 01/25/2016. |
| (6) | Options granted 03/09/2015 and will vest on 03/18/2018. |