SEC Form 4 · accession 0001209191-16-099734
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 16, 2016
Accepted (ET)
Feb 18, 2016 · 2:51 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 Stock | Feb 16, 2016 | M | 248,784 | $27.35 | A | 552,583 | D | |
| Common StockF1 | Feb 16, 2016 | F | 146,207 | $94.40 | D | 406,376 | D | |
| Common StockF2,F3 | Feb 17, 2016 | S | 6,500 | $95.44 | D | 399,876 | D | |
| Common StockF2,F4 | Feb 17, 2016 | S | 4,500 | $96.04 | D | 395,376 | D | |
| Common StockF5 | holding | — | — | — | 61,714 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $27.35 | Feb 16, 2016 | M | 248,784 | D | Feb 23, 2007 | Feb 23, 2017 | Common Stock | 248,784 | 0 | D |
Explanation of responses
- F1Reflects payment of exercise price and tax liability by withholding securities incident to exercise of stock options.
- 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 $94.94 to $95.93. 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.
- F4This transaction was executed in multiple trades at prices ranging from $95.94 to $96.20. 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.
- F5By the Yabuki Family Foundation of which Mr. Yabuki serves as trustee.