0001144204-13-059649.txt : 20131107 0001144204-13-059649.hdr.sgml : 20131107 20131107163642 ACCESSION NUMBER: 0001144204-13-059649 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131105 FILED AS OF DATE: 20131107 DATE AS OF CHANGE: 20131107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MDC PARTNERS INC CENTRAL INDEX KEY: 0000876883 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ADVERTISING AGENCIES [7311] IRS NUMBER: 980364441 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE, 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151 BUSINESS PHONE: 646 429 1800 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE, 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151 FORMER COMPANY: FORMER CONFORMED NAME: MDC CORP INC DATE OF NAME CHANGE: 20001204 FORMER COMPANY: FORMER CONFORMED NAME: MDC COMMUNICATIONS CORP DATE OF NAME CHANGE: 19961028 FORMER COMPANY: FORMER CONFORMED NAME: MDC CORPORATION DATE OF NAME CHANGE: 19950419 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kauffman Scott L CENTRAL INDEX KEY: 0001362627 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13718 FILM NUMBER: 131201110 MAIL ADDRESS: STREET 1: 260 CHURCHILL AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 4 1 v359659_4.xml OWNERSHIP DOCUMENT X0306 4 2013-11-05 0 0000876883 MDC PARTNERS INC MDCA 0001362627 Kauffman Scott L C/O MDC PARTNERS INC. 745 FIFTH AVENUE, 19TH FLOOR NEW YORK NY 10151 1 0 0 0 Class A Shares 42304 D Class A Shares 2013-11-05 4 M 0 10000 3.72 A 52304 D Class A Shares 2013-11-05 4 D 0 10000 31.28 D 42304 D Stock Options 8.95 2006-04-28 2016-04-28 Class A Shares 25000 25000 D SARs 3.72 2013-11-05 4 M 0 10000 0 D 2010-03-10 2014-03-09 Class A Shares 10000 0 D Includes shares of unvested Restricted Stock (Class A Shares) of the Issuer. Stock Options (previously granted on April 28, 2006) vest over five (5) years from the grant date: 20% (5,000 options) on the first anniversary of the grant date, an additional 20% on each of the next four (4) succeeding anniversaries of the grant date, and expire on the tenth anniversary of the grant date. The Stock Appreciation Rights ("SARs") granted on March 10, 2009, all of which are vested as of January 20, 2012, expire five (5) years from the Grant Date. These SARs were all exercised on November 5, 2013. /s/ Scott L. Kauffman 2013-11-07