SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Zayo Group Holdings, Inc. [ ZAYO ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 03/17/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/17/2015 | S | 3,107,869 | D | $26.5295 | 19,832,868 | I | See Footnotes(1)(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Following the reported transaction, consists of (i) 17,032,309 shares held of record by Charlesbank Equity Fund VI, Limited Partnership ("Fund VI"), (ii) 1,979,491 shares held of record by CB Offshore Equity Fund VI, L.P. ("Offshore VI"), (iii) 763,318 shares held of record by Charlesbank Equity Coinvestment Fund VI, Limited Partnership ("Coinvest VI" and, together with Fund VI and Offshore VI, the "Charlesbank Funds") and (iv) 57,750 shares held of record by Charlesbank Coinvestment Partners, Limited Partnership ("Coinvest"). Charlesbank Equity Fund VI GP, Limited Partnership ("Equity VI GP") is the general partner of each of the Charlesbank Funds. Charlesbank Capital Partners, LLC ("Charlesbank") is the general partner of Coinvest and Equity VI GP. (continued) |
2. (continued from footnote 1) Pursuant to an investment and advisory agreement with each of the Charlesbank Funds, an investment committee (the "Investment Committee") consisting of ten members, each a Managing Director of Charlesbank, has investment and voting authority over the securities held by the Charlesbank Funds. Each of the foregoing entities and the individual members of the Investment Committee disclaims beneficial ownership of the shares held of record by the Charlesbank Funds and Coinvest, except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Remarks: |
CHARLESBANK EQUITY FUND VI, LIMITED PARTNERSHIP, By: Charlesbank Equity Fund VI GP, Limited Partnership, its general partner, By: Charlesbank Capital Partners, LLC, its general partner, By: /s/ Tami Nason, General Counsel | 03/24/2015 | |
CHARLESBANK EQUITY FUND VI GP, LIMITED PARTNERSHIP, By: Charlesbank Capital Partners, LLC, its general partner, By: /s/ Tami Nason, General Counsel | 03/24/2015 | |
CHARLESBANK CAPITAL PARTNERS, LLC, By: /s/ Tami Nason, General Counsel | 03/24/2015 | |
CB OFFSHORE EQUITY FUND VI, L.P., By: Charlesbank Equity Fund VI GP, Limited Partnership, its general partner, By: Charlesbank Capital Partners, LLC, its general partner, By: /s/ Tami Nason, General Counsel | 03/24/2015 | |
CHARLESBANK EQUITY COINVESTMENT FUND VI, LIMITED PARTNERSHIP, By: Charlesbank Equity Fund VI GP, Limited Partnership, its general partner, By: Charlesbank Capital Partners, LLC, its general partner, By: /s/ Tami Nason, General Counsel | 03/24/2015 | |
CHARLESBANK COINVESTMENT PARTNERS, LIMITED PARTNERSHIP, By: Charlesbank Capital Partners, LLC, its general partner, By: /s/ Tami Nason, General Counsel | 03/24/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |