SEC Form 4 · accession 0001209191-16-128307
NEUSTAR INC · NSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Ballew
Director
Period of report
Jun 14, 2016
Accepted (ET)
Jun 16, 2016 · 7:04 pm EDT
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 | Aug 15, 2016 | M | 6,516 | $0.00 | A | 6,516 | 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 | Jun 14, 2016 | M | 6,516 | D | — | — | Class A Common Stock | 6,516 | 0 | D |
| Restricted Stock UnitsF5,F6 | $0.00 | Jun 16, 2016 | A | 7,786 | A | — | — | Class A Common Stock | 7,786 | 7,786 | D |
Explanation of responses
- F1The shares of Class A Common Stock represent the number of shares of restricted stock units that were granted on September 18, 2015 and vested on June 14, 2016. The shares will be delivered to the Reporting Person on August 15, 2016.
- F2Includes the shares of Class A Common Stock granted on September 18, 2015 and which vested on June 14, 2016. These shares will be delivered to the Reporting Person on August 15, 2016.
- F3These restricted stock units fully vested on June 14, 2016 and will be delivered to the Reporting Person on August 15, 2016 in accordance with the terms of the award agreement.
- F4These restricted stock units fully vested on June 14, 2016 and will be delivered to the Reporting Person on August 15, 2016 in accordance with the terms of the award agreement.
- F5The restricted stock units fully vest on the earlier of June 16, 2017 or the day preceding the date in the calendar year 2017 on which the NeuStar, Inc. annual meeting is held. Upon vesting, the Reporting Person shall be entitled to shares of Class A Common Stock equal to the number of vested shares of restricted stock units, including any resulting from dividend equivalents (as defined in the Restricted Stock Unit Agreement), which shall be delivered on August 15, 2017.
- F6The restricted stock units terminate if the Reporting Person experiences a Termination (as defined in the Amended and Restated NeuStar, Inc. 2009 Stock Incentive Plan) before the earlier of June 16, 2017 or the day preceding the date in calendar year 2017 on which the NeuStar, Inc. annual meeting is held.