SEC Form 4 · accession 0001645769-18-000002
TransUnion · TRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher A Cartwright
Officer — EVP - US Information Service
Period of report
Feb 16, 2018
Accepted (ET)
Feb 20, 2018 · 6:39 pm EST
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 | Feb 16, 2018 | A | 10,265 | $0.00 | A | 57,290 | 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,F2 | $8.57 | holding | — | — | — | — | Aug 27, 2023 | Common Stock | 287,301 | 287,301 | D |
Explanation of responses
- F1Represents a grant of restricted stock units that vest on the third anniversary of the date of grant.
- F2Represents an initial grant of 719,820 stock options, 40% of which vest upon the attainment of time-based vesting criteria and 60% of which vest upon the attainment of both time-based and performance-based vesting criteria. The performance-based vesting criteria was satisfied on February 22, 2017, and all options now follow the time-based vesting criteria as follows: 20% on the first anniversary of the date of grant and 5% on the last day of each subsequent full calendar quarter.
- F3Also reflects the exempt disposition of 197,954 options to purchase of common stock on December 21, 2017, pursuant to a domestic relations order.