SEC Form 4 · accession 0000899243-16-028108
TransUnion · TRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Elberfeld
Officer — Vice President and CAO
Period of report
Aug 24, 2016
Accepted (ET)
Aug 26, 2016 · 4:58 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 StockF1 | Aug 24, 2016 | M | 9,865 | $4.99 | A | 16,243 | D | |
| Common Stock | Aug 24, 2016 | M | 1,583 | $8.57 | A | 17,826 | D | |
| Common StockF2 | Aug 24, 2016 | S | 4,891 | $32.80 | D | 12,935 | 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 | Aug 24, 2016 | M | 9,865 | D | — | Aug 1, 2022 | Common Stock | 9,865 | 2,467 | D |
| Stock Options (right to buy)F4 | $8.57 | Aug 24, 2016 | M | 1,583 | D | — | Sep 26, 2023 | Common Stock | 1,583 | 1,296 | D |
Explanation of responses
- F1Includes 272 shares of common stock acquired pursuant to the issuer's employee stock purchase plan since the reporting person's last report, which acquisitions are exempt from Section 16 of the Securities Exchange Act of 1934.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.78 to $32.84, 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 12,332 stock options, 20% of which vested on August 1, 2013 and 5% of which vest on the last day of each subsequent full calendar quarter.
- F4Represents an initial grant of 2,879 stock options, 20% of which vested on September 26, 2014 and 5% of which vest on the last day of each subsequent full calendar quarter.