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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 | 08/27/2015 | M | 722 | (4) | (5) | Class A Common Stock | 722 | $ 0 | 724 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Prince Edward M Jr. 21575 RIDGETOP CIRCLE STERLING, VA 20166 |
SVP, Corporate Development |
/s/ Paul S. Lalljie, by power of attorney | 08/31/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes shares that are subject to performance-vested restricted stock unit agreements and restricted stock unit award agreements under the Amended and Restated Neustar, Inc. 2009 Stock Incentive Plan. |
(2) | The price is equal to the closing price of the Class A Common Stock on August 27, 2015. |
(3) | This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on May 18, 2015. |
(4) | These shares were awarded pursuant to a restricted stock unit award agreement under the Amended and Restated Neustar, Inc. 2009 Stock Incentive Plan, and represent the third tranche of the restricted stock units granted under the agreement. The remaining tranche of the restricted stock units will vest on August 27, 2016. |
(5) | Subject to certain exceptions related to a Change of Control (as defined in the Amended and Restated Neustar, Inc. 2009 Stock Incentive Plan), any unvested restricted stock units shall be forfeited if the reporting person experiences a Termination (as defined in the Amended and Restated Neustar, Inc. 2009 Stock Incentive Plan). |