SEC Form 4 · accession 0001209191-16-151984
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
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 5:11 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 | Nov 22, 2016 | M | 3,690 | $0.00 | A | 15,867 | D | |
| Common StockF2 | Nov 22, 2016 | F | 1,879 | $123.105 | D | 13,988 | D | |
| Common StockF3 | holding | — | — | — | 645 | 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 | — | Nov 22, 2016 | M | 3,226 | D | — | Oct 6, 2016 | Common Stock | 3,690 | 0 | D |
Explanation of responses
- F1Represents the vesting and payout of the third tranche (1/3) of the leveraged restricted stock units granted on October 7, 2013 at 114.4% based on the issuer's stock price performance during the performance period from 10/7/2013 to 10/6/2016 and includes 464 additional shares above the target number of shares originally reported.
- 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.
- F3Held in the issuer's employee stock purchase plan (ESPP) as of 11/22/2016.