SEC Form 4 · accession 0001601712-16-000188
Synchrony Financial · SYF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan S Mothner
Officer — See remarks
Period of report
Nov 22, 2016
Accepted (ET)
Nov 25, 2016 · 3:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001601712
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 22, 2016 | M | 3,000 | $24.55 | A | 107,738 | D | |
| Common StockF1 | Nov 22, 2016 | S | 3,000 | $34.00 | D | 104,738 | 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 to buy)F1,F2 | $24.55 | Nov 22, 2016 | M | 3,000 | D | — | Sep 17, 2024 | Common Stock | 3,000 | 163,203 | D |
Explanation of responses
- F1These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 23, 2016.
- F2The reporting person was awarded 11,610 employee stock options on September 17, 2014, which vest in five equal annual installments of 20% each, beginning on the first anniversary of the grant date.
Remarks
Executive Vice President, General Counsel and Secretary