SEC Form 4 · accession 0001209191-16-135530
DUN & BRADSTREET CORP/NW · DNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Pietrontone Jr.
Officer — PAO & Corporate Controller
Period of report
Aug 3, 2016
Accepted (ET)
Aug 4, 2016 · 5:04 pm EDT
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 Stock | Aug 3, 2016 | M | 975 | $70.54 | A | 6,587 | D | |
| Common Stock | Aug 3, 2016 | M | 2,050 | $80.45 | A | 8,637 | D | |
| Common Stock | Aug 3, 2016 | M | 1,275 | $82.80 | A | 9,912 | D | |
| Common StockF1 | Aug 3, 2016 | S | 4,300 | $138.8977 | D | 5,612 | D | |
| Common StockF2 | Aug 3, 2016 | S | 1,511 | $138.926 | D | 4,101 | D | |
| Common StockF3 | holding | — | — | — | 1 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option - Right to BuyF4 | $70.54 | Aug 3, 2016 | M | 975 | D | Feb 11, 2011 | Feb 11, 2020 | Common Stock | 975 | 0 | D |
| Non-Qualified Stock Option - Right to BuyF5 | $80.45 | Aug 3, 2016 | M | 2,050 | D | Mar 1, 2012 | Mar 1, 2021 | Common Stock | 2,050 | 0 | D |
| Non-Qualified Stock Option - Right to BuyF6 | $82.80 | Aug 3, 2016 | M | 1,275 | D | Mar 1, 2013 | Mar 1, 2022 | Common Stock | 1,275 | 0 | D |
Explanation of responses
- F1Represents the weighted average sales price of options exercised. Actual prices ranged from $138.8800 to $138.9912. Upon request from the SEC or a shareholder of the issuer, the reporting person will provide information on the number of shares sold at each separate price.
- F2Represents the sales price of long shares sold.
- F3Held in the issuer's employee stock purchase plan (ESPP) as of 8/4/2016.
- F4One-fourth of the options (3,900) vested each year beginning on the date indicated.
- F5One-fourth of the options (4,100) vested each year beginning on the date indicated.
- F6One-fourth of the options (5,100) vested each year beginning on the date indicated.