Statement of Changes in Beneficial Ownership (4)
August 26 2020 - 5:07PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Crockett Todd |
2. Issuer Name and Ticker or Trading Symbol
ZoomInfo Technologies Inc.
[
ZI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O ZOOMINFO TECHNOLOGIES, INC., 805 BROADWAY STREET, SUITE 900 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/3/2020 |
(Street)
VANCOUVER, WA 98660
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
Class A Common Stock | 8/24/2020 | | C | | 4402119 | A | (1) | 4402119 | I | See Footnotes (2)(13) |
Class A Common Stock | 8/24/2020 | | C | | 113642 | A | (1) | 113642 | I | See Footnotes (3)(13) |
Class A Common Stock | 8/24/2020 | | C | | 760241 | A | (1) | 760241 | I | See Footnotes (4)(13) |
Class A Common Stock | 8/24/2020 | | C | | 163492 | A | (1) | 163492 | I | See Footnotes (5)(13) |
Class A Common Stock | 8/24/2020 | | C | | 5429 | A | (1) | 5429 | I | See Footnotes (6)(13) |
Class A Common Stock | 8/24/2020 | | C | | 287875 | A | (1) | 287875 | I | See Footnotes (7)(13) |
Class A Common Stock | 8/24/2020 | | C | | 258273 | A | (1) | 258273 | I | See Footnotes (8)(13) |
Class A Common Stock | 8/24/2020 | | C | | 21714 | A | (9) | 21714 | I | See Footnotes (10)(13) |
Class A Common Stock | 8/24/2020 | | C | | 1151501 | A | (9) | 1151501 | I | See Footnotes (11)(13) |
Class A Common Stock | 8/24/2020 | | C | | 1033092 | A | (9) | 1033092 | I | See Footnotes (12)(13) |
Class A Common Stock | 8/24/2020 | | S | | 4402119 | D | $35.7975 | 0 | I | See Footnotes (2)(13) |
Class A Common Stock | 8/24/2020 | | S | | 113642 | D | $35.7975 | 0 | I | See Footnotes (3)(13) |
Class A Common Stock | 8/24/2020 | | S | | 760241 | D | $35.7975 | 0 | I | See Footnotes (4)(13) |
Class A Common Stock | 8/24/2020 | | S | | 163492 | D | $35.7975 | 0 | I | See Footnotes (5)(13) |
Class A Common Stock | 8/24/2020 | | S | | 5429 | D | $35.7975 | 0 | I | See Footnotes (6)(13) |
Class A Common Stock | 8/24/2020 | | S | | 287875 | D | $35.7975 | 0 | I | See Footnotes (7)(13) |
Class A Common Stock | 8/24/2020 | | S | | 258273 | D | $35.7975 | 0 | I | See Footnotes (8)(13) |
Class A Common Stock | 8/24/2020 | | S | | 21714 | D | $35.7975 | 0 | I | See Footnotes (10)(13) |
Class A Common Stock | 8/24/2020 | | S | | 1151501 | D | $35.7975 | 0 | I | See Footnotes (11)(13) |
Class A Common Stock | 8/24/2020 | | S | | 1033092 | D | $35.7975 | 0 | I | See Footnotes (12)(13) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Units of ZoomInfo Holdings LLC | (14) | 6/3/2020 | | A (17) | | 66197636 | | (14) | (14) | Class A Common Stock | 66197636 | (15) | 66197636 | I | See Footnotes (2)(13) |
Units of ZoomInfo Holdings LLC | (14) | 6/3/2020 | | A (17) | | 1708916 | | (14) | (14) | Class A Common Stock | 1708916 | (15) | 1708916 | I | See Footnotes (3)(13) |
Units of ZoomInfo Holdings LLC | (14) | 6/3/2020 | | A (17) | | 11432270 | | (14) | (14) | Class A Common Stock | 11432270 | (15) | 11432270 | I | See Footnotes (4)(13) |
Units of ZoomInfo Holdings LLC | (14) | 6/3/2020 | | A (17) | | 2458550 | | (14) | (14) | Class A Common Stock | 2458550 | (15) | 2458550 | I | See Footnotes (5)(13) |
Units of ZoomInfo Holdings LLC | (14) | 6/3/2020 | | A (17) | | 81634 | | (14) | (14) | Class A Common Stock | 81634 | (15) | 81634 | I | See Footnotes (6)(13) |
Units of ZoomInfo Holdings LLC | (14) | 6/3/2020 | | A (17) | | 4328976 | | (14) | (14) | Class A Common Stock | 4328976 | (15) | 4328976 | I | See Footnotes (7)(13) |
Units of ZoomInfo Holdings LLC | (14) | 6/3/2020 | | A (17) | | 3883830 | | (14) | (14) | Class A Common Stock | 3883830 | (15) | 3883830 | I | See Footnotes (8)(13) |
Class C Common Stock | (16) | 6/3/2020 | | A (17) | | 326537 | | (16) | (16) | Class A Common Stock | 326537 | (15) | 326537 | I | See Footnotes (10)(13) |
Class C Common Stock | (16) | 6/3/2020 | | A (17) | | 17315904 | | (16) | (16) | Class A Common Stock | 17315904 | (15) | 17315904 | I | See Footnotes (11)(13) |
Class C Common Stock | (16) | 6/3/2020 | | A (17) | | 15535322 | | (16) | (16) | Class A Common Stock | 15535322 | (15) | 15535322 | I | See Footnotes (12)(13) |
Units of ZoomInfo Holdings LLC | (14) | 8/24/2020 | | C | | | 4402119 | (14) | (14) | Class A Common Stock | 4402119 | $0.00 | 61795517 | I | See Footnotes (2)(13) |
Units of ZoomInfo Holdings LLC | (14) | 8/24/2020 | | C | | | 113642 | (14) | (14) | Class A Common Stock | 113642 | $0.00 | 1595274 | I | See Footnotes (3)(13) |
Units of ZoomInfo Holdings LLC | (14) | 8/24/2020 | | C | | | 760241 | (14) | (14) | Class A Common Stock | 760241 | $0.00 | 10672029 | I | See Footnotes (4)(13) |
Units of ZoomInfo Holdings LLC | (14) | 8/24/2020 | | C | | | 163492 | (14) | (14) | Class A Common Stock | 163492 | $0.00 | 2295058 | I | See Footnotes (5)(13) |
Units of ZoomInfo Holdings LLC | (14) | 8/24/2020 | | C | | | 5429 | (14) | (14) | Class A Common Stock | 5429 | $0.00 | 76205 | I | See Footnotes (6)(13) |
Units of ZoomInfo Holdings LLC | (14) | 8/24/2020 | | C | | | 287875 | (14) | (14) | Class A Common Stock | 287875 | $0.00 | 4041101 | I | See Footnotes (7)(13) |
Units of ZoomInfo Holdings LLC | (14) | 8/24/2020 | | C | | | 258273 | (14) | (14) | Class A Common Stock | 258273 | $0.00 | 3625557 | I | See Footnotes (8)(13) |
Class C Common Stock | (16) | 8/24/2020 | | C | | | 21714 | (16) | (16) | Class A Common Stock | 21714 | $0.00 | 304823 | I | See Footnotes (10)(13) |
Class C Common Stock | (16) | 8/24/2020 | | C | | | 1151501 | (16) | (16) | Class A Common Stock | 1151501 | $0.00 | 16164403 | I | See Footnotes (11)(13) |
Class C Common Stock | (16) | 8/24/2020 | | C | | | 1033092 | (16) | (16) | Class A Common Stock | 1033092 | $0.00 | 14502230 | I | See Footnotes (12)(13) |
Explanation of Responses: |
(1) | Units of ZoomInfo Holdings LLC ("Opco"), which represent limited liability company units of Opco and a corresponding number of shares of Class B Common Stock of the Issuer, were exchanged on a one-for-one basis for shares of Class A Common Stock of the Issuer pursuant to the amended and restated limited liability company agreement of Opco. |
(2) | Securities are held by TA XI DO AIV, L.P. ("XI DO AIV"). |
(3) | Securities are held by TA SDF III DO AIV, L.P. ("SDF III DO"). |
(4) | Securities are held by TA Atlantic & Pacific VII-A, L.P. ("Atlantic & Pacific VII-A"). |
(5) | Securities are held by TA Investors IV, L.P. ("Investors IV"). |
(6) | Securities are held by TA SDF III DO AIV II, L.P. ("SDF III DO AIV II"). |
(7) | Securities are held by TA XI DO AIV II, L.P. ("XI DO AIV II"). |
(8) | Securities are held by TA AP VII-B DO Subsidiary Partnership, L.P. ("AP VII-B"). |
(9) | Shares of the Issuer's Class C Common Stock were converted on a one-for-one basis for shares of Class A Common Stock of the Issuer. |
(10) | Securities are held by TA SDF III DO Feeder, L.P. ("SDF III Feeder"). |
(11) | Securities are held by TA XI DO Feeder, L.P ("XI DO"). |
(12) | Securities are held by TA Atlantic & Pacific VII-B, L.P. ("Atlantic & Pacific VII-B"). |
(13) | TA Associates, L.P. is the ultimate general partner of each of XI DO, SDF III Feeder, Atlantic & Pacific VII-B, XI DO AIV, SDF III DO, Atlantic & Pacific VII-A, Investors IV, AP VII-B, SDF III DO AIV II and XI DO AIV II (collectively, the "TA Associates Funds"). Investment and voting control of the TA Associates Funds is held by TA Associates, L.P. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest in such securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose. |
(14) | Units of Opco represent limited liability company units of Opco and a corresponding number of shares of Class B Common Stock of the Issuer, which together are exchangeable at the option of the holder on a one-for-one basis for shares of Class A Common Stock of the Issuer, subject to customary conversion rate adjustments for stock splits, stock dividends, and reclassifications, pursuant to the amended and restated limited liability company agreement of Opco and have no expiration date. The shares of Class B Common Stock (i) confer no incidents of economic ownership on the holders thereof and (ii) only confer ten-to-one voting rights on the holders thereof. |
(15) | On June 3, 2020, in connection with the initial public offering ("IPO") of the Issuer's Class A Common Stock and prior to the effectiveness of the Issuer's registration under Section 12 of the Securities Exchange Act of 1934, the Issuer effected a series of reorganization transactions, as described in the Issuer's Registration Statement on Form S-1 (Registration No. 333-236674) (the "Registration Statement"), pursuant to which certain of the TA Associates Funds received shares of Class C Common Stock and units of Opco. |
(16) | As described in the Registration Statement, the Class C Common Stock is convertible at the option of the holder on a one-for-one basis for shares of Class A Common Stock of the Issuer and has no expiration date. Upon any transfer of shares of Class C Common Stock, whether or not for value, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class C Common Stock will convert automatically into Class A Common Stock, on a one-for-one basis, when the aggregate number of outstanding shares of the Company's Class B Common Stock and Class C Common Stock represents less than 5% of the aggregate number of the Company's outstanding shares of Common Stock. The shares of Class C Common Stock have ten votes per share. |
(17) | This transaction occurred prior to the effectiveness of the Issuer's registration under Section 12 of the Securities Exchange Act of 1934 and is being reported on Form 4 solely for purposes of compliance with Rule 16a-2(a) under the Securities Exchange Act of 1934, as amended. The securities covered by such transaction were previously included on the Reporting Person's Form 3. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Crockett Todd C/O ZOOMINFO TECHNOLOGIES, INC. 805 BROADWAY STREET, SUITE 900 VANCOUVER, WA 98660 | X |
|
|
|
Signatures
|
/s/ Todd Crockett | | 8/24/2020 |
**Signature of Reporting Person | Date |
ZoomInfo Technologies (NASDAQ:ZI)
Historical Stock Chart
From Aug 2024 to Sep 2024
ZoomInfo Technologies (NASDAQ:ZI)
Historical Stock Chart
From Sep 2023 to Sep 2024