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- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION -----------------------------
FORM 3 WASHINGTON, D.C. 20549 OMB APPROVAL
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INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES OMB Number: 3235-0104
Expires: September 30, 1998
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Estimated average burden
Section 17(a) of the Public Utility Holding Company Act of 1935 or hours per response .... 0.5
(Print or Type Responses) Section 30(f) of the Investment Company Act of 1940 -----------------------------
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1. Name and Address of Reporting Person* 2. Date of Event Re- 4. Issuer Name AND Ticker or Trading Symbol
quiring Statement
Rossi Mark A. (Month/Day/Year) Merrill Corporation (MRLL)
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(Last) (First) (Middle) 2-1-99 5. Relationship of Reporting Person(s) 6. If Amendment, Date
----------------------- to Issuer (Check all applicable) of Original
3. IRS or Social Se- Director 10% Owner (Month/Day/Year)
curity Number of ---- ----
250 South Wacker Drive, Suite 400 Reporting Person Officer (give Other (specify ---------------------
- ------------------------------------------------- (Voluntary) X title below) below) 7. Individual or
(Street) ---- ---- Joint/Group Filing
(Check Applicable
President, Investment Line)
Company Services Form filed by One
----------------------------- X Reporting Person
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Form filed by
More than One
Reporting Person
Chicago, IL 60606 ---
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(City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial
(Instr. 4) Beneficially Owned Form: Direct Ownership (Instr. 5)
(Instr. 4) (D) or Indirect
(I) (Instr. 5)
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Common Stock -0- D
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
* If the form is filed by more than one reporting person, SEE Instruction 5(b)(v). SEC 1473 (7-97)
POTENTIAL PERSONS WHO ARE TO 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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FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE
SECURITIES)
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1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect
(Instr. 4) cisable and Underlying Derivative Security sion or ship Beneficial
Expiration (Instr. 4) Exercise Form of Ownership
Date Price of Deriv- (Instr. 5)
(Month/Day/ Deri- ative
Year) vative Security:
-------------------------------------------------- Security Direct
Amount (D) or
Date Expir- or Indirect
Exer- ation Title Number (I)
cisable Date of
Shares (Instr. 5)
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Employee Stock Option (Right to Buy) (1) 3-15-2000 Common Stock 5,000 $ 8.6875 D
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Employee Stock Option (Right to Buy) (2) 4-10-2002 Common Stock 40,000 $ 8.125 D
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Employee Stock Option (Right to Buy) (3) 3-25-2003 Common Stock 30,000 $ 8.125 D
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Employee Stock Option (Right to Buy) (4) 4-23-2002 Common Stock 24,000 $11.6875 D
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Employee Stock Option (Right to Buy) (5) 5-28-2003 Common Stock 16,000 $21.375 D
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Explanation of Responses:
(1) This option was granted on March 15, 1993 under the Issuer's 1993 Stock Incentive Plan, as amended; and is exercisable in
two remaining installments: 3,000 shares become exercisable on March 15, 1999 and 2,000 shares become exercisable on
September 15, 1999.
(2) This option was granted on April 10, 1995 under the Issuer's 1993 Stock Incentive Plan, as amended. Currently, 45% of the
option for 18,000 shares has vested and is exercisable. The remaining 55% of the option is exercisable in four installments:
6,000 shares each on April 10, 1999; April 10, 2000; and April 10, 2001; with the final installment of 4,000 shares
exercisable on October 10, 2001.
(3) This option was granted on March 25, 1996 under the Issuer's 1993 Stock Incentive Plan, as amended. Currently, 30% of the
option for 9,000 shares has vested and is exercisable. The remaining 70% of the option is exercisable in five installments:
4,500 shares each on March 25, 1999; March 25, 2000; March 25, 2001; March 25, 2002; with the final installment of 3,000
shares exercisable on September 25, 2002.
(4) This option was granted on April 23, 1997 under the Issuer's 1996 Non-Statutory Stock Option Plan, as amended. Currently,
20% of the option for 4,800 shares has vested and is exercisable. The remaining 80% of the option is exercisable in four
installments: 4,800 shares each on April 23, 1999; April 23, 2000; April 23, 2001; and October 23, 2001.
(5) This option was granted on May 28, 1998 under the Issuer's 1996 Non-Statutory Stock Option Plan, as amended, and is
exercisable in five installments. The options first become exercisable as to 20% one year after the date of grant, and as
to an additional 20% each year thereafter, with the final installment of 20% exercisable after November 28, 2002.
/s/ Mark A. Rossi 2-10-99
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**Intentional misstatements or omissions of facts constitute Federal **Signature of Reporting Person Date
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.
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB Number. Page 2
SEC 1473 (7-97)
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