SEC Form 4 · accession 0001645772-17-000007
TransUnion · TRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel A Hamood
Officer — EVP & CFO
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 5:37 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 21, 2017 | M | 10,859 | $4.99 | A | 110,688 | I | By Trust |
| Common Stock | Feb 21, 2017 | S | 10,859 | $36.88 | D | 99,829 | I | By Trust |
| Common Stock | Feb 22, 2017 | S | 60,000 | $36.57 | D | 39,829 | I | By Trust |
| Common Stock | holding | — | — | — | 20,243 | 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)F2 | $4.99 | Feb 21, 2017 | M | 10,859 | D | — | Aug 1, 2022 | Common Stock | 10,859 | 390,986 | I |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan.
- F2Represents an initial grant of 401,845 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. The time-based vesting criteria is satisfied as follows: 20% on the first anniversary of the date of grant and 5% on the last day of each subsequent full calendar quarter.