SEC Form 4 · accession 0001209191-17-001642
Zayo Group Holdings, Inc. · ZAYO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Waters Jr.
Officer — Chief Technology Officer
Period of report
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 9:28 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 StockF1 | Dec 31, 2016 | M | 20,996 | — | A | 20,996 | D | |
| Common StockF3 | Jan 3, 2017 | S | 6,753 | $33.09 | D | 14,243 | D |
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,F4 | — | Dec 31, 2016 | M | 20,996 | D | — | — | Common Stock | 20,996 | 0 | D |
Explanation of responses
- F1The number of shares of Common Stock having an aggregate value of $700,000 based upon the average close price of the Company's Common Stock over the last ten trading days prior to December 31, 2016.
- F2The sale reported was mandated by the Company's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a Rule 10b5-1 "sell-to-cover" transaction and does not represent a discretionary trade by the reporting person.
- F3The shares were sold in one transaction at the price reported.
- F4On August 23, 2016, the reporting person was granted restricted stock units, which vested in full on December 31, 2016.