SEC Form 4 · accession 0001141391-16-000242

Mastercard Inc · MA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Craig Vosburg

Officer — President, North America

Period of report

Oct 31, 2016

Accepted (ET)

Nov 2, 2016 · 12:52 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001141391

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Class A Common Stock^F1	Oct 31, 2016	M	10,120	$42.043	A	39,837	D
Class A Common Stock^F1	Oct 31, 2016	M	5,640	$24.036	A	45,477	D
Class A Common Stock^F1,F2	Oct 31, 2016	S	13,360	$107.1433	D	32,117	D
Class A Common Stock^F1,F3	Oct 31, 2016	S	2,200	$107.7599	D	29,917	D
Class A Common Stock^F1,F4	Oct 31, 2016	S	200	$108.741	D	29,717	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right ro buy)^F1,F5	$24.036	Oct 31, 2016	M	5,640	D	—	Mar 1, 2021	Class A Common Stock	5,640	0	D
Employee Stock Option (right ro buy)^F1,F6	$42.043	Oct 31, 2016	M	10,120	D	—	Mar 1, 2022	Class A Common Stock	10,120	0	D

Explanation of responses

F1The transactions reported in this Form 4 were effected pursuant to a pre-planned trading plan entered into in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. The pre-planned trading plan was adopted by the reporting person on August 30, 2016.
F2The price reported reflects the weighted average price of shares sold in multiple transactions at prices ranging from $106.53 to $107.5089. The reporting person hereby undertakes to provide to the SEC staff, Mastercard Incorporated, or a security holder of Mastercard Incorporated, upon request, full information regarding the number of shares sold at each separate price within this range.
F3The price reported reflects the weighted average price of shares sold in multiple transactions at prices ranging from $107.5345 to $108.4000. The reporting person hereby undertakes to provide to the SEC staff, Mastercard Incorporated, or a security holder of Mastercard Incorporated, upon request, full information regarding the number of shares sold at each separate price within this range.
F4The price reported reflects the weighted average price of shares sold in multiple transactions at prices ranging from $108.6521 to $108.8300. The reporting person hereby undertakes to provide to the SEC staff, Mastercard Incorporated, or a security holder of Mastercard Incorporated, upon request, full information regarding the number of shares sold at each separate price within this range.
F5The Reporting Person was awarded 5,640 employee stock options on March 1, 2011, which vested in four equal installments beginning on March 1, 2012.
F6The Reporting Person was awarded 10,120 employee stock options on March 1, 2012, which vested in four equal installments beginning on March 1, 2013.