SEC Form 4 · accession 0001181431-15-002928
FISERV INC · FISV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffery W Yabuki
Officer — President and CEO · Director
Period of report
Feb 18, 2015
Accepted (ET)
Feb 20, 2015 · 5:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000798354
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 18, 2015 | A | 16,294 | $0.00 | A | 535,515 | D | |
| Common StockF2,F3 | Feb 18, 2015 | D | 30,000 | $78.74 | D | 505,515 | D | |
| Common StockF4 | holding | — | — | — | 36,450 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F5 | $79.05 | Feb 18, 2015 | A | 206,496 | A | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 206,496 | 206,496 | D |
Explanation of responses
- F1One-third of these restricted stock units vest on the second, third and fourth anniversaries of the grant date.
- F2This sale was effected pursuant to a Rule 10b5-1 trading plan which was entered into by the reporting person for estate and financial planning purposes.
- F3This transaction was executed in multiple trades at prices ranging from $78.33 to $79.06. The price reported above reflects the weighted average sale 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.
- F4By the Yabuki Family Foundation of which Mr. Yabuki serves as trustee.
- F5One-third of these options vest on each anniversary of the grant date.