SEC Form 4 · accession 0001209191-18-056685
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
Oct 30, 2018
Accepted (ET)
Oct 31, 2018 · 5:30 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,F3 | Oct 30, 2018 | S | 337,079 | $29.67 | D | 6,820,177 | I | By DPC Papa Bear Enterprises, LLC |
| Common Stock | holding | — | — | — | 471,851 | D | ||
| Common Stock | holding | — | — | — | 8,066 | I | By Bear Equity, LLC | |
| Common Stock | holding | — | — | — | 1,130,957 | I | By Bear Investments, LLLP | |
| Common StockF4 | holding | — | — | — | 127,886 | I | By Daniel P. Caruso Development Fund |
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 behalf of DPC Papa Bear Enterprises, LLC on February 13, 2018.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.45 to $29.87. 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 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.
- F4The 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.