SEC Form 4 · accession 0001209191-16-154987
DUN & BRADSTREET CORP/NW · DNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N Fernandez
Director
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 5:58 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 | Dec 9, 2016 | A | 65 | $122.9575 | A | 25,173 | D |
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 CompensationF2,F3,F4,F5 | — | Dec 9, 2016 | A | 110 | A | — | — | Common Stock | 110 | 28,601 | 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.
- F2Phantom 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").
- F3Each 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 $123.36 closing price of the issuer's common stock on the transaction date, one share of common stock corresponds to approximately 2.68 units.
- F4The reporting person may transfer these phantom stock units to alternative investment funds in the Plan beginning three years from the transaction date.
- F5These phantom stock units are payable in cash after the reporting person ceases to be a member of the issuer's board of directors.