SEC Form 4 · accession 0001209191-16-141234
DUN & BRADSTREET CORP/NW · DNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J Coughlin
Director
Period of report
Sep 9, 2016
Accepted (ET)
Sep 13, 2016 · 5:46 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 StockF1 | Sep 9, 2016 | A | 57 | $134.56 | A | 16,399 | D | |
| Common StockF2 | holding | — | — | — | 800 | I | HELD BY WIFE |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units - Deferred CompensationF3,F4,F5,F6 | — | Sep 9, 2016 | A | 133 | A | — | — | Common Stock | 133 | 37,270 | D |
Explanation of responses
- F1Acquired pursuant to a dividend reinvestment feature of the issuer's stock incentive plan in connection with restricted stock units held by the reporting person.
- F2The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F3Phantom stock is reported in units vs. shares in the D&B Common Stock Fund of the issuer's non-employee directors' deferred compensation plan (the "Plan").
- F4Each phantom stock unit entitles the reporting person to a cash payment based on the value on the payout date of the issuer's common stock corresponding to such units. Based on the $132.93 closing price of the issuer's common stock on the transaction date, one share of common stock corresponds to approximately 2.68 units.
- F5The reporting person may transfer these phantom stock units to alternative investment funds in the Plan beginning three years from the transaction date.
- F6These phantom stock units are payable in cash after the reporting person ceases to be a member of the issuer's board of directors.