# EDGAR Filing Document

**Accession Number:** 0001847703
**File Stem:** 0000950170-23-006517
**Filing Date:** 2023-3
**Character Count:** 7776
**Document Hash:** 6fd7062fc8ee2986e46e9b2c44ddde44
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950170-23-006517.hdr.sgml**: 20230307

**ACCESSION NUMBER**: 0000950170-23-006517

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230303

**FILED AS OF DATE**: 20230307

**DATE AS OF CHANGE**: 20230307

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Clay Craig
- **CENTRAL INDEX KEY:** 0001847703

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37728
- **FILM NUMBER:** 23714162

**MAIL ADDRESS:**
- **STREET 1:** C/O DONNELLEY FINANCIAL SOLUTIONS
- **STREET 2:** 35 WEST WACKER DRIVE
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60601
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Donnelley Financial Solutions, Inc.
- **CENTRAL INDEX KEY:** 0001669811
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MISCELLANEOUS BUSINESS SERVICES [7380]
- **IRS NUMBER:** 344829638
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 35 WEST WACKER DRIVE
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60601
- **BUSINESS PHONE:** 800-823-5304

**MAIL ADDRESS:**
- **STREET 1:** 35 WEST WACKER DRIVE
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60601

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a 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). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Clay Craig<br><sub>(Last) (First) (Middle)</sub><br>C/O DONNELLEY FINANCIAL SOLUTIONS<br>35 WEST WACKER DRIVE<br><sub>(Street)</sub><br>CHICAGO, IL 60601<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President, GCM_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Donnelley Financial Solutions, Inc. [ DFIN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-03 |  | F<sup>(1)</sup> |  | 2469 | D | $41.85 | 110113 | D |  |
| Common Stock | 2023-03-03 |  | F<sup>(1)</sup> |  | 2486 | D | $41.85 | 107627 | D |  |
| Common Stock | 2023-03-03 |  | A<sup>(2)</sup> |  | 14941 | A | $41.85 | 122568 | D |  |
| Common Stock | 2023-03-03 |  | F<sup>(3)</sup> |  | 19671 | D | $41.85 | 102897 | D |  |
| Common Stock | 2023-03-03 |  | A |  | 16703 | A | <sup>(4)</sup> | 119600 | D |  |
| Common Stock | 2023-03-03 |  | A |  | 15605 | A | <sup>(5)</sup> | 135205<sup>(6)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Shares were withheld as payment of a tax liability incident to vesting of restricted stock units issued in accordance with Rule 16b-3.

(2) Represents earned portions of Company granted PSUs issued in 2020 pursuant to a Rule 16b-3 plan for which performance has been determined. On March 3, 2023, the Compensation Committee determined the achievement of the performance goals for 2022 and 2020-2022, resulting in 4,792 and 10,149 earned stock units, respectively. The Compensaiton Committee had previously determined the achievement of the performance goals for 2020 and 2021, resulting in 9,619 and 13,950 earned stock units. The total earned stock units of 25,673 were delivered on March 3, 2023.

(3) Shares were withheld as payment of a tax liability incident to vesting of performance stock units issued in accordance with Rule 16b-3.

(4) Represents earned portions of Company granted PSUs issued in 2021 and 2022 pursuant to a Rule 16b-3 plan for which performance has been determined. 25% of each of the 2021 and 2022 PSUs are subject to performance goals for 2022. On March 3, 2023, the Compensation Committee determined the achievement of the performance goals for 2022, resulting in 6,373 and 10,330 earned stock units, for the 2021 and 2022 PSUs respectively, all of which remain subject to service-based vesting until cumulative performance of the PSU goals is determined after the close of the 2023 and 2024 performance year, as applicable

(5) Company granted restricted stock units ("RSUs") issued pursuant to a Rule 16b-3 plan. The RSUs vest three equal annual installments beginning on March 3, 2024.

(6) Includes 73,679 shares held directly, 30,173 restricted stock unit, and 31,353 earned performance share units with additional service-based vesting.

**Signature:** Jennifer Reiners, pursuant to power of attorney  
**Date:** 2023-03-07

### Remarks:

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 Number.**