SEC Form 4 · accession 0001209191-16-090293
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
Jan 4, 2015
Accepted (ET)
Jan 7, 2016 · 10:51 am 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 StockF2,F3 | Jan 4, 2015 | S | 67,890 | $26.438 | D | 7,771,295 | D | |
| Common StockF5 | Jan 5, 2015 | S | 27,000 | $26.7806 | D | 1,387,249 | I | By Bear Equity, LLC |
| Common Stock | holding | — | — | — | 1,126,895 | I | By Bear Investments, LLLP | |
| Common Stock | holding | — | — | — | 84 | I | By VP Holdings, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported was effected pursuant to a sell-to-cover Rule 10b5-1 trading plan adopted by the reporting person on June 7, 2015. This sale is mandated by the Company's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary trade by the reporting person.
- F2The shares were sold in one transaction at the price reported.
- F3Reflects gift of 34,000 shares of common stock to The Caruso Foundation made on December 29, 2015 but not yet reflected in amount of securities beneficially owned.
- F4The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 29, 2015.
- F5The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.56 to $26.93. The reporting person undertakes to provide the Company, any security holder of the Company, 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 in this footnote.