SEC Form 4 · accession 0001209191-15-080408
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
Nov 12, 2015
Accepted (ET)
Nov 16, 2015 · 8:21 pm EST
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 Stock | Nov 16, 2015 | J | 241,832 | $0.00 | D | 0 | I | By VP Holdings, LLC |
| Common StockF1 | holding | — | — | — | 7,458,621 | D | ||
| Common Stock | holding | — | — | — | 1,414,249 | I | By Bear Equity LLC | |
| Common Stock | holding | — | — | — | 1,126,570 | I | By Bear Investments, LLLP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Nov 12, 2015 | A | 47,473 | A | — | — | Common Stock | 47,473 | 47,473 | D |
Explanation of responses
- F1Reflects gift of 34,000 shares of common stock to Caruso Charitable Foundation previously reported on Form 5 filed on August 14, 2015 but not yet reflected in amount of securities beneficially owned following reported transactions.
- F2On November 16, 2015, VP Holdings, LLC effected a pro rata distribution of shares of Zayo Group Holdings, Inc. (the "Company") common stock to its members.
- F3Each restricted stock unit represents a contingent right to receive one share of Company common stock.
- F4The restricted stock units vest in full on December 31, 2016.