SEC Form 5 · accession 0001209191-16-136807
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
Jun 30, 2016
Accepted (ET)
Aug 12, 2016 · 4:23 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,F2 | Jul 1, 2015 | G | 4,500,000 | $0.00 | D | 3,655,680 | D | |
| Common StockF1,F3 | Jul 1, 2015 | G | 4,500,000 | $0.00 | A | 4,500,000 | I | By DPC Papa Bear Enterprises, LLC |
| Common StockF2,F4 | Dec 29, 2015 | G | 75,558 | $0.00 | D | 3,655,680 | D | |
| Common Stock | holding | — | — | — | 1,336,405 | I | By Bear Equity, LLC | |
| Common Stock | holding | — | — | — | 1,128,269 | I | By Bear Investments, LLLP | |
| Common StockF5 | holding | — | — | — | 439 | I | By VP Holdings, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents transfer of shares from the reporting person directly to DPC Papa Bear Enterprises, LLC. The reporting person is the sole manager of DPC Papa Bear Enterprises, LLC, which is 100% owned by the DPC Yogi Bear Enterprises Trust. The discretionary beneficiaries of the DPC Yogi Bear Enterprises Trust include immediate family members of the reporting person, all of whom are sharing the reporting person's household.
- F2Includes 15,857 shares that were sold on May 25, 2016 and timely reported in the Form 4 filed on May 27, 2016. These shares were inadvertently omitted from inclusion in the Amount of Securities Beneficially Owned in prior Forms 4.
- F3The reporting person disclaims beneficial ownership of the shares held by DPC Papa Bear Enterprises, LLC, except to the extent of his pecuniary interest therein.
- F4The Amount of Securities Beneficially Owned by the reporting person reflected this gift of 75,558 shares beginning with the Form 4 filed by the reporting person on January 7, 2016.
- F5The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.