SEC Form 4 · accession 0001209191-17-001643
Zayo Group Holdings, Inc. · ZAYO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard W. Connor
Director
Period of report
Dec 27, 2016
Accepted (ET)
Jan 4, 2017 · 9:49 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 Stock | Dec 27, 2016 | G | 3,000 | $0.00 | D | 144,790 | D | |
| Common Stock | Dec 28, 2016 | G | 850 | $0.00 | D | 143,940 | D | |
| Common StockF1 | Dec 31, 2016 | M | 2,821 | — | A | 146,761 | D | |
| Common StockF3 | Jan 3, 2017 | S | 1,269 | $33.03 | D | 145,492 | 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 | 2,821 | D | — | — | Common Stock | 2,821 | 0 | D |
| Restricted Stock unitsF5,F6 | — | Jan 4, 2017 | A | 2,530 | A | — | — | Common Stock | 2,530 | 2,530 | D |
Explanation of responses
- F1Each Part C restricted stock unit converted into one share of Zayo Group Holdings, Inc. common stock.
- F2The sales reported in this Form were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 17, 2016 designed, in part, to cover taxes for the vesting of shares.
- F3The shares were sold in one transaction at the price reported.
- F4On October 5, 2016, the reporting person was granted Part C restricted stock units, which vested in full on December 31, 2016.
- F5Each Part C restricted stock unit represents a contingent right to receive one share of Zayo Group Holdings, Inc. common stock.
- F6The restricted stock units vest in full on March 31, 2017.