SEC Form 4 · accession 0001209191-15-001711
NEUSTAR INC · NSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward M Prince Jr.
Officer — SVP, Information Services
Period of report
Jan 1, 2015
Accepted (ET)
Jan 5, 2015 · 8:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001265888
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Jan 1, 2015 | F | 2,047 | $27.80 | D | 12,220 | D | |
| Class A Common StockF2 | Jan 1, 2015 | M | 1,392 | $0.00 | A | 13,612 | D | |
| Class A Common StockF1,F2 | Jan 1, 2015 | F | 523 | $27.80 | D | 13,089 | D | |
| Class A Common StockF3,F2 | Jan 2, 2015 | F | 1,996 | $27.74 | D | 11,093 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | $0.00 | Jan 1, 2015 | M | 1,392 | D | — | — | Class A Common Stock | 1,392 | 2,786 | D |
Explanation of responses
- F1The price is equal to the closing price of the Class A Common Stock on December 31, 2014.
- F2Includes shares that are subject to performance-vested restricted stock unit agreements and restricted stock unit award agreements under the Amended and Restated NeuStar, Inc. 2009 Stock Incentive Plan.
- F3The price is equal to the closing price of the Class A Common Stock on January 2, 2015.
- F4These shares were awarded pursuant to a restricted stock unit award agreement under the Amended and Restated NeuStar, Inc. 2009 Stock Incentive Plan, and represent the second tranche of the restricted stock units granted under the agreement. The remaining tranches of the restricted stock units will vest on January 1, 2016 and 2017, respectively, in two equal annual installments.
- F5Upon the Reporting Person's Termination (as defined in the Amended and Restated NeuStar, Inc. 2009 Stock Incentive Plan (the "Plan")), including by reason of death or Disability (as defined in the Plan), other than by the Issuer for Cause (as defined in the Plan) or by the Reporting Person without Good Reason (as defined in the Restricted Stock Unit Agreement), any unvested restricted stock units that would have vested during the 12 months after such separation from NeuStar, Inc. shall immediately vest, and the remainder of any unvested restricted stock units shall immediately be forfeited without compensation.