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Taking a Loan From Your Account
Situations Affecting Your Benefits
Administrative and Contact Information
Supplemental General Information Regarding the
RR Donnelley Stock Fund
Employees 401(k) Savings Plan - Moore Wallace
Supplemental General Information Regarding the
Donnelley Stock Fund
Limitations on the Sale of Common Stock Acquired Under the Plan
The Donnelley Stock Fund is a unitized fund. Withdrawals from the Fund are in cash.
Under the federal securities laws, directors, officers, and other persons who are deemed to be “affiliates” of the Company within the meaning of Rule 405 under the Securities Act of 1933 (the “Securities Act”) may sell shares of Common Stock, including shares acquired under the Plan, pursuant only to an effective registration statement under the Securities Act, Rule 144 or an appropriate exemption from registration. For this purpose, an “affiliate” of the Company is any person who controls, is controlled by, or is under common control with the Company. If you are an affiliate of the Company, you should consult with counsel prior to making any sale.
In addition, the restrictions imposed by Section 16 of the Securities Exchange Act of 1934 (“Exchange Act”) upon any executive officer or director apply to Common Stock acquired under the Plan. In general, any acquisition of Common Stock under the Plan by an executive officer or director pursuant to a periodic payroll deduction, reinvestment of dividends, or company matching contribution will be exempt from the short-swing liability and reporting provisions of Section 16. However, (i) acquisitions of Common Stock through transfers from one or more funds or rollover contributions to the Donnelley Stock Fund or (ii) dispositions of Common Stock through transfers from the Donnelley Stock Fund to one or more other funds or through a withdrawal or loan from the Plan may be subject to the short-swing liability (and will be subject to the reporting) provisions of Section 16. If you are subject to Section 16, you will not be able to execute transfers, withdrawals, or loans on the Plan’s automated voice response system. All requests for transfers, withdrawals, and loans must be made by requesting a form from the contract administrator and must then be approved by the office of the General Counsel/Corporate Secretary.
