SEC Form 4 · accession 0001398227-16-000006
TransUnion · TRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Neenan
Officer — EVP - International
Period of report
Oct 28, 2016
Accepted (ET)
Nov 1, 2016 · 7:32 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 | Oct 28, 2016 | M | 41,112 | $4.99 | A | 383,766 | 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)F1 | $4.99 | Oct 28, 2016 | M | 41,112 | A | — | Sep 10, 2022 | Common Stock | 41,112 | 32,889 | D |
Explanation of responses
- F1Represents an initial grant of 164,441 stock options (reported on a post 1.333-for-1 stock split basis effective June 5, 2015), 20% of which vested on September 10, 2013 and 5% of which vest on the last day of each subsequent full calendar quarter.