SEC Form 4 · accession 0001601712-17-000033
Synchrony Financial · SYF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian D Doubles
Officer — See remarks
Period of report
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 4:40 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 | Feb 28, 2017 | M | 5,609 | $24.55 | A | 169,962 | D | |
| Common StockF1,F2 | Feb 28, 2017 | S | 5,609 | $36.13 | D | 164,353 | D | |
| Common StockF1,F3 | Feb 28, 2017 | S | 2,500 | $36.13 | D | 161,853 | 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,F4 | $24.55 | Feb 28, 2017 | M | 5,609 | D | — | Sep 17, 2024 | Common Stock | 5,609 | 250,858 | D |
Explanation of responses
- F1These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 22, 2016.
- F2This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.76 to $36.77. Information regarding the number of shares sold at each price will be provided upon request.
- F3This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.79 to $36.77. Information regarding the number of shares sold at each price will be provided upon request.
- F4The reporting person was awarded 29,024 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 and Chief Financial Officer