Sec Form 4 Filing - Edwards Steve @ NEUSTAR INC - 2017-03-01

Insider filing report for Changes in Beneficial Ownership
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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
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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1. Name and Address of Reporting Person
Edwards Steve
2. Issuer Name and Ticker or Trading Symbol
NEUSTAR INC [ NSR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP, Data Solutions
(Last) (First) (Middle)
21575 RIDGETOP CIRCLE
3. Date of Earliest Transaction (MM/DD/YY)
03/01/2017
(Street)
STERLING, VA20166
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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
Class A Common Stock 03/01/2017 03/01/2017 M 2,636 A $ 0 62,893 ( 1 ) D
Class A Common Stock 03/01/2017 03/01/2017 F 991 D $ 33.3 ( 2 ) 61,902 ( 1 ) D
Class A Common Stock 03/01/2017 03/01/2017 M 3,086 A $ 0 64,988 ( 1 ) D
Class A Common Stock 03/01/2017 03/01/2017 F 1,160 D $ 33.3 ( 2 ) 63,828 ( 1 ) D
Class A Common Stock 03/01/2017 03/01/2017 M 12,677 A $ 0 76,505 ( 1 ) D
Class A Common Stock 03/01/2017 03/01/2017 F 4,765 D $ 33.3 ( 2 ) 71,740 ( 1 ) D
Class A Common Stock 03/01/2017 03/01/2017 M 9,801 ( 3 ) A $ 0 81,541 ( 1 ) D
Class A Common Stock 03/01/2017 03/01/2017 M 11,481 ( 4 ) A $ 0 93,022 ( 1 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units $ 0 03/01/2017 03/01/2017 M 2,636 ( 5 ) ( 6 ) Class A Common Stock 2,636 $ 0 2,638 D
Restricted Stock Units $ 0 03/01/2017 03/01/2017 M 3,086 ( 7 ) ( 8 )( 9 )( 10 ) Class A Common Stock 3,086 $ 0 6,174 D
Performance Stock Units $ 0 03/01/2017 03/01/2017 M 12,677 ( 11 ) ( 12 ) ( 13 ) Class A Common Stock 12,677 $ 0 0 D
Performance Stock Units $ 0 03/01/2017 03/01/2017 M 9,801 ( 11 ) ( 13 ) Class A Common Stock 9,801 $ 0 0 D
Performance Stock Units $ 0 03/01/2017 03/01/2017 M 11,481 ( 14 ) ( 15 ) ( 13 ) Class A Common Stock 11,481 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Edwards Steve
21575 RIDGETOP CIRCLE
STERLING, VA20166
SVP, Data Solutions
Signatures
/s/ Paul S. Lalljie, by Power of Attorney 03/03/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Includes shares that are subject to performance-vested restricted unit 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 March 1, 2017.
( 3 )The shares are subject to vesting based on continued employment through March 1, 2018.
( 4 )The shares are subject to vesting based on continued employment through March 1, 2019.
( 5 )On April 13, 2015, 7,910 restricted stock units were awarded. The portion of the restricted stock units that are being reported in this Form 4 were fully vested on March 1, 2017.
( 6 )Upon the Reporting Person's Termination (as defined in the Amended and Restated NeuStar, Inc. 2009 Stock Incentive Plan (the "Plan"), including by reason of death or Disability (as defined in the Plan), other than by the Issuer for Cause (as de fined by the Plan) or by the Reporting Person without Good Reason (as defined in the Restricted Stock Unit Agreement), any unvested restricted stock units that would have vested during the 12 months after such seperation from NeuStar, Inc. shall immediately vest, and the remainder of any unvested restricted stock units shall immediately be forfeited without compensation.
( 7 )On April 8, 2016, 9,260 restricted stock units were awarded. The portion of the restricted stock units that are being reported in this Form 4 were fully vested on March 1, 2017.
( 8 )Upon the Reporting Person's Termination (as defined in the Plan) (i) by reason of the Reporting Person's death or Disability or (ii) by the Company without Cause, any unvested RSUs that would have vested during the 12 months after the Reporting Person's Termination had the Reporting Person's employment with the Company not terminated shall immediately vest, and the remainder of any unvested RSUs shall immediately be forfeited without compensation.
( 9 )Upon the Reporting Person's Termination due to Retirement (as defined in the Plan), a number of unvested RSUs (if any) equal to the product of (i) the number of RSUs that would have become vested on the next scheduled Vesting Date (as defined in the Plan) had the Reporting Person's employment continued through such Vesting Date and (ii) a fraction, the numerator of which is the number of days from the last Vesting Date preceding the date of such Termination (or in the case of a Termination prior to the first such Vesting Date, the number of days from the Grant Date (as defined in the Plan)) through the date of such Termination, and the denominator of which is the number of days from the last Vesting Date preceding the date of such Termination (or in the case of a Termination prior to the first such Vesting Date, the number of days from the Grant Date) through the next scheduled Vesting Date, shall immediately vest.
( 10 )Following a Change in Control (as defined in the Plan) following which any portion of the Reporting Person's RSUs remains unvested, upon the Reporting Person's Termination (i) by reason of the Reporting Person's death or Disability, (ii) by the Company without Cause, (iii) by the Reporting Person with Good Reason, in each case, within two (2) years after such Change in Control, the Reporting Person's RSUs shall immediately vest in full upon such Termination.
( 11 )The shares represent the fifth tranche of the performance-vested restricted stock units granted on February 29, 2012. In accordance with the Performance-Vested Restricted Stock Unit Agreement, each performance stock unit represented a contingent right to receive a share of Class A Common Stock based on, and subject to, the achievement of certain revenue and adjusted net income goals for the 2016 fiscal year. The number of shares of Class A Common Stock, together with Dividend Equivalents (as defined in the Amended and Restated NeuStar, Inc. 2009 Stock Incentive Plan) on such performance stock units, that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance stock units granted.
( 12 )Immediately.
( 13 )If the Reporting Person experiences a Termination (as defined in the Plan) other than "for cause" or "without good reason", these PVRSUs, and any other performance stock units earned by the Reporting Person as a result of the achievement of performance goals which have not yet vested as of the date of Termination but would have vested at any time during the twelve (12) months following such Termination, shall immediately vest, and any remaining portion of any unvested award shall be immediately forfeited.
( 14 )The shares represent the second tranche of the performance-vested restricted stock units granted on April 13, 2015 and remain subject to vesting based on continued employment through March 1, 2018. Each performance stock unit represented a contingent right to receive a share of Class A Common Stock based on, and subject to, the achievement of certain revenue and adjusted net income goals set forth in the Performance-Vested Restricted Stock Unit Agreement. The number of shares of Class A Common Stock, together with the Dividend Equivalents (as defined in the NeuStar, Inc. 2009 Stock Incentive Plan) on such performance stock units, that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of shares of performance stock units granted.
( 15 )The shares are subject to vesting based on continued employment through March 1, 2019.

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