SEC Form 4 · accession 0000899243-16-020324
TransUnion · TRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Peck
Officer — President and CEO · Director
Period of report
May 16, 2016
Accepted (ET)
May 18, 2016 · 5:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001552033
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 16, 2016 | M | 91,889 | $4.99 | A | 772,323 | D | |
| Common StockF2 | May 16, 2016 | S | 91,889 | $31.36 | D | 680,434 | D | |
| Common Stock | May 17, 2016 | M | 37,444 | $4.99 | A | 717,878 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F3 | $4.99 | May 16, 2016 | M | 91,889 | D | — | Dec 31, 2022 | Common Stock | 91,889 | 481,152 | D |
| Stock Options (right to buy)F3 | $4.99 | May 17, 2016 | M | 37,444 | D | — | Dec 31, 2022 | Common Stock | 37,444 | 443,708 | D |
Explanation of responses
- F1The exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.15 to $31.52, inclusive. The reporting person undertakes to provide to TransUnion, any security holder of TransUnion, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3Represents an initial grant of 739,407 stock options, 20% of which vested on December 31, 2013 and 5% of which vest on the last day of each subsequent full calendar quarter.