SEC Form 4 · accession 0001209191-16-149455
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 8, 2016
Accepted (ET)
Nov 10, 2016 · 6:19 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 StockF2 | Nov 8, 2016 | S | 13 | $32.80 | D | 4,355,342 | D | |
| Common StockF3 | Nov 9, 2016 | S | 75,987 | $32.86 | D | 4,279,355 | D | |
| Common Stock | holding | — | — | — | 1,327,066 | I | By Bear Equity, LLC | |
| Common Stock | holding | — | — | — | 1,130,957 | I | By Bear Investments, LLLP | |
| Common StockF4 | holding | — | — | — | 4,500,000 | I | By DPC Papa Bear Enterprises, LLC | |
| Common StockF5 | holding | — | — | — | 1,137 | 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 Rule 10b5-1 trading plan adopted by the reporting person on February 18, 2016.
- F2The shares were sold in multiple transactions at the price reported.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.80 to $33.34. 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.
- 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, 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.
- 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.