SEC Form 4 · accession 0001209191-16-144740
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, 2016
Accepted (ET)
Oct 4, 2016 · 9:34 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, 2016 | M | 42,967 | — | A | 3,727,129 | D | |
| Common StockF2 | Sep 30, 2016 | M | 13,488 | — | A | 3,740,617 | D | |
| Common Stock | holding | — | — | — | 1,327,066 | I | By Bear Equity, LLC | |
| Common Stock | holding | — | — | — | 1,130,957 | I | By Bear Investments, LLLP | |
| Common StockF3 | holding | — | — | — | 1,137 | I | By VP Holdings, LLC | |
| Common StockF4 | holding | — | — | — | 4,500,000 | I | DPC Papa Bear Enterprises, 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,F5 | — | Sep 30, 2016 | M | 42,967 | A | — | — | Common Stock | 42,967 | 0 | D |
| Restricted Stock UnitsF2,F6 | — | Sep 30, 2016 | M | 13,488 | A | — | — | Common Stock | 13,488 | 0 | D |
Explanation of responses
- F1Each Part A restricted stock unit converted into one share of Zayo Group Holdings, Inc. common stock.
- F2Each Part B restricted stock unit represents a contingent right to receive one share of Zayo Group Holdings, Inc. common stock.
- F3The 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.
- F4The reporting person disclaims beneficial ownership of the shares held by DPC Papa Bear Enterprises, LLC, except to the extent of his pecuniary interest therein.
- F5On September 16, 2015, the reporting person was granted Part A restricted stock units, which vested in full on September 30, 2016.
- F6On October 6, 2015, the reporting person was granted Part B restricted stock units, which vested in full on September 30, 2016.