SEC Form 4/A · accession 0001141391-18-000066
Mastercard Inc · MA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael Fraccaro
Officer — Chief Human Resources Officer
Period of report
Apr 9, 2018
Accepted (ET)
May 30, 2018 · 6:15 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Apr 9, 2018 | M | 1,807 | $90.13 | A | 5,353 | D | |
| Class A Common StockF1 | Apr 9, 2018 | S | 2,274 | $171.39 | D | 3,079 | D | |
| Class A Common StockF1 | Apr 10, 2018 | M | 2,186 | $90.10 | A | 5,265 | D | |
| Class A Common StockF1 | Apr 10, 2018 | S | 2,186 | $175.00 | D | 3,079 | 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,F2 | $90.13 | Apr 9, 2018 | M | 1,807 | D | — | Mar 1, 2025 | Class A Common Stock | 1,807 | 1,807 | D |
| Employee Stock Option (right ro buy)F1,F3 | $90.10 | Apr 10, 2018 | M | 2,186 | D | — | Mar 1, 2026 | Class A Common Stock | 2,186 | 4,372 | 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 February 22, 2018.
- F2The reporting person was awarded 7,228 employee stock options on March 1, 2015, of which 5,421 have vested. The remaining 1,807 employee stock options will vest on March 1, 2019.
- F3The reporting person was awarded 8,744 employee stock options on March 1, 2016, of which 4,372 have vested. The remaining 4,372 employee stock options will vest in two equal annual installments beginning on March 1, 2019.
Remarks
This amendment is being filed solely to correct the number of shares sold on April 9, 2018 (Table I Column 4), as well as the related effect on the total numbers of shares beneficially owned following the sale (Table I Column 5).