SEC Form 4 · accession 0001209191-16-089355
NEUSTAR INC · NSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard J Kennedy
Officer — SVP, General Counsel & Sec
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 6:41 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 | Jan 1, 2016 | M | 2,770 | $0.00 | A | 19,124 | D | |
| Class A Common StockF2,F1 | Jan 1, 2016 | F | 1,187 | $23.97 | D | 17,937 | 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 UnitsF3,F4 | $0.00 | Jan 1, 2016 | M | 2,770 | D | — | — | Class A Common Stock | 2,770 | 2,770 | D |
Explanation of responses
- F1Includes shares that are subject to restricted stock agreements under the Amended and Restated NeuStar, Inc. 2009 Stock Incentive Plan.
- F2The price is equal to the closing price of the Class A Common Stock on December 31, 2015.
- F3Twenty-five percent of the restricted stock units vest on each of January 1, 2014, 2015, 2016 and 2017.
- F4Upon 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.