SEC Form 4 · accession 0001209191-17-055502
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, 2017
Accepted (ET)
Oct 3, 2017 · 7:40 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 StockF1 | Sep 30, 2017 | M | 59,111 | — | A | 4,343,965 | D | |
| Common StockF2 | Sep 30, 2017 | M | 52,288 | — | A | 4,396,253 | D | |
| Common StockF4 | Oct 3, 2017 | S | 115,273 | $34.70 | D | 366,565 | I | By Bear Equity, LLC |
| Common Stock | holding | — | — | — | 1,130,957 | I | By Bear Investments, LLLP | |
| Common StockF5 | 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,F6 | — | Sep 30, 2017 | M | 59,111 | A | — | — | Common Stock | 59,111 | 0 | D |
| Restricted Stock UnitsF2,F7 | — | Sep 30, 2017 | M | 52,288 | A | — | — | Common Stock | 52,288 | 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 converted into one share of Zayo Group Holdings, Inc. common stock.
- F3The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 14, 2017.
- F4The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.70 to $34.74. 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.
- F5The reporting person disclaims beneficial ownership of the shares held by DPC Papa Bear Enterprises, LLC, except to the extent of his pecuniary interest therein.
- F6On August 31, 2016, the reporting person was granted Part A restricted stock units, which vested in full on September 30, 2017.
- F7On November 29, 2016, the reporting person was granted Part B restricted stock units, which vested in full on September 30, 2017.