SEC Form 4 · accession 0001645773-16-000006
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
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 5:12 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 | Nov 14, 2016 | M | 93,448 | $4.99 | A | 353,234 | D | |
| Common StockF2 | Nov 14, 2016 | S | 93,448 | $29.65 | D | 259,786 | D | |
| Common Stock | Nov 15, 2016 | M | 35,886 | $4.99 | A | 295,672 | D | |
| Common Stock | holding | — | — | — | 422,321 | I | By limited liability company |
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 | Nov 14, 2016 | M | 93,448 | D | — | Dec 31, 2022 | Common Stock | 93,448 | 220,927 | D |
| Stock Options (right to buy)F3 | $4.99 | Nov 15, 2016 | M | 35,886 | D | — | Dec 31, 2022 | Common Stock | 35,886 | 185,041 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.28 to $30.015, 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.