13D Filing: Roger W Stone and Kapstone Paper & Packaging Corp (NYSE:KS)

Page 2 of 8 – SEC Filing

 

CUSIP No.   48562P103

 

 

1.

Names of Reporting Persons.
Roger Stone

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions):

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions):
OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e):     o
Not Applicable

 

 

6.

Citizenship or Place of Organization:
U.S.A.

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power:
3,768,913

 

8.

Shared Voting Power:
1,949,800

 

9.

Sole Dispositive Power:
3,768,913

 

10.

Shared Dispositive Power:
1,949,800

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person:
5,718,713 (1)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):   o

 

 

13.

Percent of Class Represented by Amount in Row (11):
5.91% (2)

 

 

14.

Type of Reporting Person (See Instructions):
IN

 


(1)   Includes 1,949,800 shares of Common Stock held by the Roger and Susan Stone Family Foundation (the Foundation).

 

(2)   Based on 96,786,601 shares of Common Stock outstanding as of March 20, 2017 (as reported in the Issuers definitive proxy statement on Schedule 14A filed with SEC on April 5, 2017).

 

2


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