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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/17 Donnelley Fin’l Solutions, Inc. 10-K 12/31/16 143:25M ActiveDisclosure/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 1.61M
3: EX-10.12 Material Contract HTML 40K
4: EX-10.13 Material Contract HTML 56K
5: EX-10.15 Material Contract HTML 63K
6: EX-10.21 Material Contract HTML 70K
7: EX-10.22 Material Contract HTML 64K
8: EX-10.23 Material Contract HTML 63K
9: EX-10.25 Material Contract HTML 41K
10: EX-10.26 Material Contract HTML 53K
2: EX-10.6 Material Contract HTML 201K
12: EX-14.1 Code of Ethics HTML 47K
13: EX-21.1 Subsidiaries List HTML 50K
14: EX-23.1 Consent of Experts or Counsel HTML 39K
15: EX-24.1 Power of Attorney HTML 46K
11: EX-12.1 Statement re: Computation of Ratios HTML 61K
16: EX-31.1 Certification -- §302 - SOA'02 HTML 47K
17: EX-31.2 Certification -- §302 - SOA'02 HTML 47K
18: EX-32.1 Certification -- §906 - SOA'02 HTML 42K
19: EX-32.2 Certification -- §906 - SOA'02 HTML 42K
26: R1 Document and Entity Information HTML 69K
27: R2 Consolidated and Combined Statements of Operations HTML 94K
28: R3 Consolidated and Combined Statements of HTML 59K
Comprehensive Income
29: R4 Consolidated and Combined Balance Sheets HTML 134K
30: R5 Consolidated and Combined Balance Sheets HTML 56K
(Parenthetical)
31: R6 Consolidated and Combined Statements of Cash Flows HTML 144K
32: R7 Consolidated and Combined Statements of Cash Flows HTML 42K
(Parenthetical)
33: R8 Consolidated and Combined Statements of Equity HTML 95K
34: R9 Overview and Basis of Presentation HTML 58K
35: R10 Significant Accounting Policies HTML 72K
36: R11 Business Combinations HTML 49K
37: R12 Restructuring, Impairment and Other Charges HTML 227K
38: R13 Goodwill and Other Intangible Assets HTML 155K
39: R14 Accounts Receivable HTML 64K
40: R15 Inventories HTML 57K
41: R16 Property, Plant and Equipment HTML 64K
42: R17 Accrued Liabilities HTML 65K
43: R18 Commitments and Contingencies HTML 59K
44: R19 Retirement Plans HTML 357K
45: R20 Income Taxes HTML 283K
46: R21 Debt HTML 108K
47: R22 Earnings per Share HTML 105K
48: R23 Share-Based Compensation HTML 138K
49: R24 Preferred Stock HTML 42K
50: R25 Comprehensive Income HTML 229K
51: R26 Segment Information HTML 329K
52: R27 Geographic Area and Products and Services HTML 188K
Information
53: R28 Related Parties HTML 101K
54: R29 New Accounting Pronouncements HTML 58K
55: R30 Guarantor Financial Information HTML 1.37M
56: R31 Significant Accounting Policies (Policies) HTML 117K
57: R32 Restructuring, Impairment and Other Charges HTML 225K
(Tables)
58: R33 Goodwill and Other Intangible Assets (Tables) HTML 155K
59: R34 Accounts Receivable (Tables) HTML 63K
60: R35 Inventories (Tables) HTML 58K
61: R36 Property, Plant and Equipment (Tables) HTML 63K
62: R37 Accrued Liabilities (Tables) HTML 64K
63: R38 Commitments and Contingencies (Tables) HTML 54K
64: R39 Retirement Plans (Tables) HTML 360K
65: R40 Income Taxes (Tables) HTML 285K
66: R41 Debt (Tables) HTML 100K
67: R42 Earnings per Share (Tables) HTML 103K
68: R43 Share-Based Compensation (Tables) HTML 121K
69: R44 Comprehensive Income (Tables) HTML 230K
70: R45 Segment Information (Tables) HTML 322K
71: R46 Geographic Area and Products and Services HTML 192K
Information (Tables)
72: R47 Related Parties (Tables) HTML 82K
73: R48 Guarantor Financial Information - (Tables) HTML 1.37M
74: R49 Overview and Basis of Presentation - Additional HTML 85K
Information (Details)
75: R50 Significant Accounting Policies - Additional HTML 83K
Information (Detail)
76: R51 Business Combinations - Additional Information HTML 55K
(Details)
77: R52 Restructuring, Impairment and Other Charges - HTML 69K
Schedule of Restructuring, Impairment and Other
Charges Recognized in Results of Operations
(Details)
78: R53 Restructuring, Impairment and Other Charges - HTML 59K
Additional Information (Details)
79: R54 Restructuring, Impairment and Other Charges - Fair HTML 46K
Values, Valuation Techniques and Related
Unobservable Inputs of Level Three (Detail)
80: R55 Restructuring, Impairment and Other Charges - HTML 59K
Schedule of Changes in the Restructuring Reserve
(Details)
81: R56 Restructuring, Impairment and Other Charges - HTML 45K
Restructuring Reserve - Additional Information
(Details)
82: R57 Goodwill and Other Intangible Assets - Schedule of HTML 52K
Changes in the Carrying Amount of Goodwill by
Segment (Details)
83: R58 Goodwill and Other Intangible Assets - Components HTML 55K
of Other Intangible Assets (Detail)
84: R59 Goodwill and Other Intangible Assets - Additional HTML 43K
Information (Details)
85: R60 Goodwill and Other Intangible Assets - Schedule of HTML 55K
Estimated Annual Amortization Expense Related to
Other Intangible Assets (Detail)
86: R61 Accounts Receivable - Transactions Affecting HTML 48K
Allowance for Doubtful Accounts (Details)
87: R62 Inventories - Components of Inventories (Details) HTML 51K
88: R63 Property, Plant and Equipment - Components of HTML 55K
Company's Property, Plant and Equipment (Details)
89: R64 Property, Plant and Equipment - Additional HTML 42K
Information (Details)
90: R65 Accrued Liabilities - Components of Accrued HTML 58K
Liabilities (Detail)
91: R66 Commitments and Contingencies - Additional HTML 56K
Information (Detail)
92: R67 Commitments and Contingencies - Future Minimum HTML 59K
Rental Commitments Under Operating Lease (Detail)
93: R68 Retirement Plans - Additional Information HTML 112K
(Details)
94: R69 Retirement Plans - Components of Estimated Net HTML 71K
Pension Plan (Income) Expense (Detail)
95: R70 Retirement Plans - Reconciliation of Funded Status HTML 81K
(Details)
96: R71 Retirement Plans - Amount Recognized on HTML 58K
Consolidated and Combined Balance Sheets (Details)
97: R72 Retirement Plans - Amounts in Accumulated Other HTML 50K
Comprehensive Loss (Details)
98: R73 Retirement Plans - Amounts Recognized in Other HTML 56K
Comprehensive Income (Loss) (Details)
99: R74 Retirement Plans - Schedule of Accumulated Other HTML 45K
Comprehensive Loss Expected to Recognized as
Components of Net Periodic Benefit Costs (Details)
100: R75 Retirement Plans - Weighted Average Assumptions HTML 46K
Used to Determine Benefit Obligation (Details)
101: R76 Retirement Plans - Summary of Projected Benefit HTML 46K
Obligations in Excess of Plan Assets (Details)
102: R77 Retirement Plans - Accumulated Benefit Obligations HTML 45K
in Excess of Plan Assets (Details)
103: R78 Retirement Plans - Expected Benefit Payments HTML 59K
(Details)
104: R79 Retirement Plans - Allocation of Plan Assets, HTML 68K
Pension Plan (Details)
105: R80 Retirement Plans - Changes in Fair Value of Level HTML 53K
Three Assets (Details)
106: R81 Income Taxes - Components of Earnings From HTML 48K
Operations Before Income Taxes (Detail)
107: R82 Income Taxes - Components of Income Tax Expense HTML 69K
(Benefit) From Operations (Detail)
108: R83 Income Taxes - Reconciliation From Federal HTML 64K
Statutory Tax Rate to Effective Tax Rate (Detail)
109: R84 Income Taxes - Schedule of Significant Deferred HTML 77K
Tax Assets And Liabilities (Detail)
110: R85 Income Taxes - Schedule of Transactions Affecting HTML 52K
Valuation Allowance on Deferred Tax Assets
(Detail)
111: R86 Income Taxes - Additional Information (Detail) HTML 78K
112: R87 Income Taxes - Unrecognized Tax Benefits (Detail) HTML 52K
113: R88 Debt - Schedule of the Company's Debt (Details) HTML 64K
114: R89 Debt - Schedule of the Company's Debt HTML 46K
(Parenthetical) (Details)
115: R90 Debt - Additional Information (Details) HTML 86K
116: R91 Debt - Schedule of Future Maturities of Debt HTML 54K
(Details)
117: R92 Debt - Schedule of Future Maturities of Debt HTML 44K
(Parenthetical) (Details)
118: R93 Debt - Summary of Interest Expense (Details) HTML 46K
119: R94 Earnings per Share - Additional Information HTML 56K
(Detail)
120: R95 Earnings per Share - Schedule of Basic and Diluted HTML 69K
Earnings per Common Share and the Average Number
of Common Shares Outstanding (Detail)
121: R96 Share-Based Compensation - Additional Information HTML 125K
(Details)
122: R97 Share-Based Compensation - Summary of Stock HTML 75K
Options Activity (Details)
123: R98 Share-Based Compensation - Summary of Restricted HTML 63K
Stock Units (Details)
124: R99 Preferred Stock - Additional Information (Details) HTML 44K
125: R100 Comprehensive Income - Schedule of Components of HTML 56K
Other Comprehensive Income and Income Tax Expense
Allocated to Each Component (Details)
126: R101 Comprehensive Income - Schedule of Changes in HTML 66K
Accumulated Other Comprehensive Loss (Details)
127: R102 Comprehensive Income - Reclassifications from HTML 56K
Accumulated Other Comprehensive Loss Amortization
of Pension Plan Cost (Details)
128: R103 Segment Information - Additional Information HTML 48K
(Details)
129: R104 Segment Information - Schedule of Segment HTML 73K
Reporting Information (Details)
130: R105 Segment Information - Schedule of Corporate Assets HTML 56K
(Details)
131: R106 Geographic Area and Products and Services HTML 59K
Information - Schedule of Net Sales and Long-lived
Assets by Geographic Region (Details)
132: R107 Geographic Area and Products and Services HTML 55K
Information - Summary of Net Sales for Services
and Products (Details)
133: R108 Related Parties - Additional Information (Details) HTML 98K
134: R109 Related Parties - Summary of Amount in HTML 54K
Consolidated and Combined Balance Sheet Due or
From Related Parties (Details)
135: R110 Related Parties - Schedule of Allocation of HTML 50K
Expenses Reflected in Consolidated and Combined
Financial Statements (Details)
136: R111 Guarantor Financial Information - Additional HTML 53K
Information (Details)
137: R112 Guarantor Financial Information - Condensed HTML 128K
Consolidating Statements of Operations (Details)
138: R113 Guarantor Financial Information - Condensed HTML 182K
Consolidating Balance Sheets (Details)
139: R114 Guarantor Financial Information - Condensed HTML 143K
Consolidating Statements of Cash Flows (Details)
140: R115 Guarantor Financial Information - Condensed HTML 42K
Consolidating Statements of Cash Flows
(Parenthetical) (Details)
142: XML IDEA XML File -- Filing Summary XML 253K
141: EXCEL IDEA Workbook of Financial Reports XLSX 149K
20: EX-101.INS XBRL Instance -- dfin-20161231 XML 8.54M
22: EX-101.CAL XBRL Calculations -- dfin-20161231_cal XML 309K
23: EX-101.DEF XBRL Definitions -- dfin-20161231_def XML 988K
24: EX-101.LAB XBRL Labels -- dfin-20161231_lab XML 1.66M
25: EX-101.PRE XBRL Presentations -- dfin-20161231_pre XML 1.56M
21: EX-101.SCH XBRL Schema -- dfin-20161231 XSD 260K
143: ZIP XBRL Zipped Folder -- 0001564590-17-002855-xbrl Zip 325K
Exhibit 14.1
DONNELLEY FINANCIAL SOLUTIONS, INC.
CODE OF ETHICS for the CHIEF EXECUTIVE OFFICER and
SENIOR FINANCIAL OFFICERS
(Effective October 1, 2016)
Donnelley Financial Solutions, Inc. (the “Company”) maintains its “Principles of Ethical Business Conduct” and the policies referred to therein applicable to all directors and employees of the Company. The Chief Executive Officer (“CEO”) and all Senior Financial Officers (including particularly the Chief Financial Officer and the Controller) are bound by the provisions set forth in the Principles relating to ethical conduct and fair dealing, conflicts of interest, confidentiality of Company information and compliance with law, but in addition are subject to the following specific policies:
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1. |
The CEO and all Senior Financial Officers are responsible for full, fair, accurate, timely and understandable disclosure in the periodic reports required to be filed by the Company with the Securities and Exchange Commission. Accordingly, it is the responsibility of the CEO and each Senior Financial Officer promptly to bring to the attention of the Company’s Disclosure Committee any material information of which he or she may become aware that affects the disclosures made by the Company in its public filings or otherwise assist the Company’s Disclosure Committee in fulfilling its responsibilities as specified in the Company’s Disclosure Policy |
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2. |
The CEO and each Senior Financial Officer shall promptly bring to the attention of the Company’s Disclosure Committee and the Audit Committee any information he or she may have concerning (a) significant deficiencies in the design or operation of internal controls which could adversely affect the Company’s ability to record, process, summarize and report financial data or (b) any fraud, whether or not material, that involves management or other employees who have a significant role in the Company’s financial reporting, disclosures or internal controls. |
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3. |
The CEO and each Senior Financial Officer shall promptly bring to the attention of the General Counsel or the CEO and to the Audit Committee any information he or she may have concerning any violation of the Company’s Principles of Ethical Business Conduct, including any actual or apparent conflicts of interest between personal and professional relationships, involving any management or other employees who have a significant role in the Company’s financial reporting, disclosures or internal controls. All investigations into any matter reported hereunder shall be handled as described in the Company’s whistleblower procedures. |
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4. |
The CEO and each Senior Financial Officer shall promptly bring to the attention of the General Counsel or the CEO and to the Audit Committee any information he or she may have concerning evidence of a material violation of the securities or other laws, rules or regulations applicable to the Company and the operation of its business, by the Company or any agent thereof, or of these additional procedures. |
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5. |
The Board of Directors shall determine, or designate the appropriate committee of the Board to determine, appropriate actions to be taken in the event of violations of the Principles of Ethical Business Conduct or of these additional procedures by the CEO and the Company’s Senior Financial Officers. Such actions shall be reasonably designed to deter wrongdoing and to promote accountability for adherence to the Principles of Ethical Business Conduct and to these additional procedures, and shall include actions up to and including termination of the individual’s employment. In determining what action is appropriate in a particular case, the Board of Directors or such committee shall take into account all relevant information, including the nature and severity of the violation, whether the violation was a single occurrence or repeated occurrences, whether the violation appears to have been intentional or inadvertent, whether the individual in question had been advised prior to the violation as to the proper course of action and whether or not the individual in question had committed other violations in the past. |
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6. |
The waiver of the application of the Principles of Ethical Business Conduct or these additional procedures granted to the CEO or any Senior Financial Officer of the Company shall be solely within the authority of the Board of Directors or the committee designated in paragraph 5 above, and shall be reported as required by law or regulation. |
2
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/28/17 | 8-K | ||
| For Period end: | 12/31/16 | SD | ||
| 10/1/16 | 3, 3/A, 4, 4/A | |||
| List all Filings | ||||