SEC Form 4 · accession 0001141391-19-000002
Mastercard Inc · MA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward Grunde McLaughlin
Officer — President, Operations & Tech
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 2:18 pm EST
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 | Jan 22, 2019 | M | 8,280 | $51.83 | A | 37,374 | D | |
| Class A Common StockF1 | Jan 22, 2019 | M | 10,120 | $77.72 | A | 47,494 | D | |
| Class A Common StockF1,F2 | Jan 22, 2019 | S | 4,851 | $198.3588 | D | 42,643 | D | |
| Class A Common StockF1,F3 | Jan 22, 2019 | S | 6,905 | $199.3453 | D | 35,738 | D | |
| Class A Common StockF1,F4 | Jan 22, 2019 | S | 8,113 | $200.3302 | D | 27,625 | D | |
| Class A Common StockF1,F5 | Jan 22, 2019 | S | 400 | $200.83 | D | 27,225 | 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,F6 | $51.83 | Jan 22, 2019 | M | 8,280 | D | — | Mar 1, 2023 | Class A Common Stock | 8,280 | 0 | D |
| Employee Stock Option (right ro buy)F1,F7 | $77.72 | Jan 22, 2019 | M | 10,120 | D | — | Mar 1, 2024 | Class A Common Stock | 10,120 | 10,000 | 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 December 5, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $197.79 to $198.78. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $198.79 to $199.78. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $199.79 to $200.77. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5This transaction was executed in multiple trades at prices ranging from $200.80 to $200.90. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F6The reporting person was awarded 21,280 employee stock options on March 1, 2013, which vested in four equal installments beginning on March 1, 2014
- F7The reporting person was awarded 20,120 employee stock options on March 1, 2014, which vested in four equal installments beginning on March 1, 2015.