SEC Form 4 · accession 0001601712-17-000145
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
Oct 20, 2017
Accepted (ET)
Oct 24, 2017 · 4:20 pm EDT
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 | Oct 20, 2017 | M | 644 | $24.55 | A | 113,578 | D | |
| Common StockF1 | Oct 20, 2017 | S | 644 | $33.50 | D | 112,934 | D | |
| Common StockF1 | Oct 20, 2017 | M | 356 | $30.41 | A | 113,290 | D | |
| Common StockF1 | Oct 20, 2017 | S | 356 | $33.50 | D | 112,934 | 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 | Oct 20, 2017 | M | 644 | D | — | Sep 17, 2024 | Common Stock | 644 | 184,817 | D |
| Employee Stock Option (right to buy)F1,F3 | $30.41 | Oct 20, 2017 | M | 356 | D | — | Apr 1, 2025 | Common Stock | 356 | 184,461 | D |
Explanation of responses
- F1This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 22, 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.
- F3The reporting person was awarded 16,519 employee stock options on April 1, 2015, 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