SEC Form 4 · accession 0001209191-18-012994
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 21, 2018
Accepted (ET)
Feb 23, 2018 · 4:40 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,F2 | Feb 21, 2018 | S | 2,796 | $140.60 | D | 361,104 | D | |
| Common StockF1,F3 | Feb 21, 2018 | S | 11,807 | $141.63 | D | 349,297 | D | |
| Common StockF1,F4 | Feb 21, 2018 | S | 2,397 | $142.40 | D | 346,900 | D | |
| Common StockF5 | Feb 21, 2018 | A | 28,615 | $0.00 | A | 375,515 | D | |
| Common StockF6 | holding | — | — | — | 118,214 | 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)F7 | $139.79 | Feb 21, 2018 | A | 89,286 | A | Feb 21, 2019 | Feb 21, 2028 | Common Stock | 89,286 | 89,286 | D |
Explanation of responses
- F1This 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.
- F2This transaction was executed in multiple trades at prices ranging from $140.12 to $141.03. 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.
- F3This transaction was executed in multiple trades at prices ranging from $141.17 to $142.15. 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 $142.20 to $142.84. 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.
- F5One-third of these restricted stock units vest on the second, third and fourth anniversaries of the grant date.
- F6By the Yabuki Family Foundation of which Mr. Yabuki serves as trustee.
- F7One-third of these options vest on each anniversary of the grant date.