SEC Form 4 · accession 0001209191-15-073550
Zayo Group Holdings, Inc. · ZAYO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Caruso
Officer — CEO · Director
Period of report
Sep 30, 2015
Accepted (ET)
Oct 2, 2015 · 9:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001608249
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 30, 2015 | M | 555,070 | — | A | 7,537,533 | D | |
| Common Stock | holding | — | — | — | 1,468,153 | I | By Bear Equity, LLC | |
| Common Stock | holding | — | — | — | 1,126,519 | I | By Bear Investments, LLLP | |
| Common Stock | holding | — | — | — | 241,819 | I | By VP Holdings, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Sep 30, 2015 | M | 555,070 | A | — | — | Common Stock | 555,070 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Zayo Group Holdings, Inc. common stock.
- F2The restricted stock units vested in full on September 30, 2015.
Remarks
The reporting person was granted these part B RSUs on November 24, 2015. The original number of units was based on Target performance but the ultimate settlement is based on satisfaction of the Max performance level.