SEC Form 4 · accession 0001209191-18-017525
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 2, 2018
Accepted (ET)
Mar 6, 2018 · 7:34 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 Stock | Mar 2, 2018 | A | 351 | $0.00 | A | 6,445 | D | |
| Common StockF1 | Mar 2, 2018 | M | 556 | $0.00 | A | 7,001 | D | |
| Common StockF2 | Mar 2, 2018 | F | 303 | $125.54 | D | 6,698 | D | |
| Common StockF2 | Mar 3, 2018 | F | 149 | $125.54 | D | 6,549 | 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 2, 2018 | M | 558 | D | — | Mar 2, 2018 | Common Stock | 556 | 0 | D |
Explanation of responses
- F1Represents the vesting and payout of the third tranche (1/3) of the leveraged restricted stock units (1,673) granted on March 2, 2015 at 99.8% of target based on the issuer's stock price performance during the performance period from 1/1/2015 - 12/31/2017.
- F2To satisfy tax withholding obligations relating to the vesting of shares of Common Stock previously awarded, shares were withheld from the vested amount.