SEC Form 4 · accession 0001209191-16-106266
DUN & BRADSTREET CORP/NW · DNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert P Carrigan
Officer — Chief Executive Officer · Director
Period of report
Mar 2, 2016
Accepted (ET)
Mar 4, 2016 · 8:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001115222
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 2, 2016 | M | 4,451 | $0.00 | A | 11,389 | D | |
| Common StockF2 | Mar 2, 2016 | F | 1,612 | $98.96 | D | 9,777 | D | |
| Common StockF3 | Mar 3, 2016 | M | 3,770 | $0.00 | A | 13,547 | D | |
| Common StockF2 | Mar 3, 2016 | F | 1,370 | $100.385 | D | 12,177 | D | |
| Common StockF4 | holding | — | — | — | 420 | I | HELD IN ESPP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Leveraged Restricted Stock UnitsF1 | — | Mar 2, 2016 | M | 5,578 | D | — | Mar 2, 2018 | Common Stock | 4,451 | 11,158 | D |
| Leveraged Restricted Stock UnitsF3 | — | Mar 3, 2016 | M | 4,446 | D | — | Mar 3, 2017 | Common Stock | 3,770 | 4,446 | D |
Explanation of responses
- F1Represents the vesting and payout of the first tranche (1/3) of the leveraged restricted stock units (16,736) granted on March 2, 2015 at 79.8% of target based on the issuer's stock price performance during the performance period from 1/1/2015 -12/31/2015.
- F2The reporting person made an irrevocable election in November 2015 to satisfy tax withholding obligations relating to the vesting of shares of Common Stock previously awarded through the deduction of shares from the vested amount.
- F3Represents the vesting and payout of the second tranche (1/3) of the leveraged restricted stock units (13,337) granted on March 3, 2014 at 84.80% of target based on the issuer's stock price performance during the performance period from 1/1/2014 -12/31/2015.
- F4Held in the issuer's employee stock purchase plan (ESPP) as of 3/4/2016.