SEC Form 4 · accession 0001209191-15-070078
FISERV INC · FISV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rahul Gupta
Officer — Group President
Period of report
Sep 8, 2015
Accepted (ET)
Sep 10, 2015 · 3:23 pm EDT
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 | Sep 8, 2015 | M | 32,282 | $27.11 | A | 121,853 | D | |
| Common Stock | Sep 8, 2015 | S | 32,282 | $86.00 | D | 89,571 | D | |
| Common Stock | Sep 8, 2015 | M | 27,672 | $27.11 | A | 117,243 | D | |
| Common Stock | Sep 8, 2015 | S | 27,672 | $86.00 | D | 89,571 | D | |
| Common Stock | Sep 8, 2015 | M | 33,848 | $16.37 | A | 123,419 | D | |
| Common Stock | Sep 8, 2015 | S | 33,848 | $86.00 | D | 89,571 | D |
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) | $27.11 | Sep 8, 2015 | M | 32,282 | D | Feb 27, 2011 | Feb 27, 2018 | Common Stock | 32,282 | 0 | D |
| Stock Option (right to buy)F2 | $27.11 | Sep 8, 2015 | M | 27,672 | D | Feb 27, 2009 | Feb 27, 2018 | Common Stock | 27,672 | 0 | D |
| Stock Option (right to buy)F3 | $16.37 | Sep 8, 2015 | M | 33,848 | D | Feb 26, 2010 | Feb 26, 2019 | Common Stock | 33,848 | 0 | D |
Explanation of responses
- F1Includes 314 shares acquired under the Fiserv, Inc. Employee Stock Purchase Plan.
- F2The option vested in three equal installments on February 27, 2009, 2010 and 2011.
- F3The option vested in three equal installments on February 26, 2010, 2011 and 2012.