SEC Form 4 · accession 0001601712-17-000150
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 30, 2017
Accepted (ET)
Nov 1, 2017 · 4:11 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 30, 2017 | M | 1,000 | $24.55 | A | 113,934 | D | |
| Common StockF1 | Oct 30, 2017 | S | 1,000 | $32.83 | D | 112,934 | D | |
| Common Stock | Oct 30, 2017 | S | 500 | $32.81 | D | 112,434 | 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 30, 2017 | M | 1,000 | D | — | Sep 17, 2024 | Common Stock | 1,000 | 5,966 | 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.
Remarks
Executive Vice President, General Counsel and Secretary