SEC Form 4 · accession 0001209191-17-039279
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 12, 2017
Accepted (ET)
Jun 12, 2017 · 6:40 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 StockF2 | Jun 12, 2017 | S | 25,690 | $32.01 | D | 4,581,329 | D | |
| Common StockF2 | Jun 12, 2017 | S | 24,178 | $32.05 | D | 1,166,620 | 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 |
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 14, 2017. Note that on previous forms 4, the plan adoption date was erroneously reported as February 14, 2017 for the reporting person's April 17, 2017 sale and erroneously reported as June 10, 2016 for the reporting person's March 1, 2017 sale; both the April 17, 2017 sale and the March 1, 2017 sale were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 18, 2016.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.68 to $32.32. 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.
- F3The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 14, 2017. Note that on previous forms 4, the plan adoption date was erroneously reported as June 10, 2016 for the reporting person's April 25, 2017 sale and erroneously reported as February 14, 2017 for the reporting person's April 17, 2017 sale; both the April 25, 2017 sale and the April 17, 2017 sale were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 18, 2016.
- 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.