SEC Form 4 · accession 0001209191-18-017052
DUN & BRADSTREET CORP/NW · DNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rishi Dave
Officer — Chief Marketing Officer
Period of report
Mar 1, 2018
Accepted (ET)
Mar 5, 2018 · 9:55 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 1, 2018 | M | 880 | $0.00 | A | 5,681 | D | |
| Common StockF2 | Mar 1, 2018 | M | 1,093 | $0.00 | A | 6,774 | D | |
| Common StockF3 | Mar 1, 2018 | F | 680 | $125.49 | D | 6,094 | D |
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 1, 2018 | M | 888 | D | — | Mar 1, 2020 | Common Stock | 880 | 1,777 | D |
| Leveraged Restricted Stock UnitsF2 | — | Mar 1, 2018 | M | 874 | D | — | Mar 1, 2019 | Common Stock | 1,093 | 874 | D |
Explanation of responses
- F1Represents the vesting and payout of the first tranche (1/3) of the leveraged restricted stock units (2,665) granted on March 1, 2017 at 99.2% of target based on the issuer's stock price performance during the performance period from 1/1/2017 -12/31/2017.
- F2Represents the vesting and payout of the second tranche (1/3) of the leveraged restricted stock units (2,621) granted on March 1, 2016 at 125.1% of target based on the issuer's stock performance during the performance period from 1/1/2016 -12/31/2017 and includes 219 additional shares above the target number of shares originally reported.
- F3To satisfy tax withholding obligations relating to the vesting of shares of Common Stock previously awarded, shares were withheld from the vested amount.