SEC Form 5 · accession 0001209191-18-046635
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 30, 2018
Accepted (ET)
Aug 14, 2018 · 5:03 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 | Aug 25, 2017 | G | 127,886 | $0.00 | D | 486,950 | D | |
| Common StockF1,F2 | Aug 25, 2017 | G | 127,886 | $0.00 | A | 127,886 | I | The Daniel P. Caruso Development Fund |
| Common StockF3 | Aug 28, 2017 | G | 2,923,122 | $0.00 | D | 486,950 | D | |
| Common StockF3,F4 | Aug 28, 2017 | G | 2,923,122 | $0.00 | A | 7,423,122 | I | DPC Papa Bear Enterprises, LLC |
| Common Stock | Dec 27, 2017 | G | 15,391 | $0.00 | D | 486,950 | D | |
| Common Stock | holding | — | — | — | 1,130,957 | I | Bear Investments LLLP | |
| Common Stock | holding | — | — | — | 8,066 | I | Bear Equity, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a gift of 127,886 shares of common stock from the reporting person to the Daniel P. Caruso Development Fund on August 25, 2017. The discretionary beneficiaries of the Daniel P. Caruso Development Fund include immediate family members of the reporting person, some of whom are sharing the reporting person's household.
- F2The reporting person disclaims beneficial ownership of the shares held by the Daniel P. Caruso Development Fund, 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.
- F3Reflects a gift of 2,923,122 shares of common stock from the reporting person to DPC Papa Bear Enterprises, LLC on August 28, 2017. The reporting person is the sole manager of DPC Papa Bear Enterprises, LLC, which is 100% owned by the DPC Yogi Bear Enterprises Trust. The discretionary beneficiaries of the DPC Yogi Bear Enterprises Trust include immediate family members of the reporting person, all of whom are sharing the reporting person's household.
- 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.