SEC Form 4 · accession 0001209191-18-021145
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
Mar 19, 2018
Accepted (ET)
Mar 21, 2018 · 6:06 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,F2,F3 | Mar 19, 2018 | S | 24,000 | $73.27 | D | 727,030 | D | |
| Common StockF1,F2,F4 | Mar 19, 2018 | S | 10,000 | $73.80 | D | 717,030 | D | |
| Common StockF2,F5 | holding | — | — | — | 236,428 | 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)F2,F6 | $69.90 | holding | — | — | — | Feb 21, 2019 | Feb 21, 2028 | Common Stock | 178,572 | 178,572 | D |
| Stock Option (right to buy)F2,F6 | $56.91 | holding | — | — | — | Feb 22, 2018 | Feb 22, 2027 | Common Stock | 186,818 | 186,818 | D |
| Stock Option (right to buy)F2,F6 | $48.33 | holding | — | — | — | Feb 19, 2017 | Feb 19, 2026 | Common Stock | 275,776 | 275,776 | D |
| Stock Option (right to buy)F2 | $39.53 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 412,992 | 412,992 | D |
| Stock Option (right to buy)F2 | $28.49 | holding | — | — | — | Feb 19, 2015 | Feb 19, 2024 | Common Stock | 503,140 | 503,140 | D |
| Stock Option (right to buy)F2 | $20.18 | holding | — | — | — | Feb 20, 2014 | Feb 20, 2023 | Common Stock | 634,376 | 634,376 | D |
| Stock Option (right to buy)F2 | $16.32 | holding | — | — | — | Feb 22, 2013 | Feb 22, 2022 | Common Stock | 482,700 | 482,700 | D |
| Stock Option (right to buy)F2 | $15.43 | holding | — | — | — | Feb 23, 2012 | Feb 23, 2021 | Common Stock | 658,380 | 658,380 | D |
| Stock Option (right to buy)F2 | $11.93 | holding | — | — | — | Feb 24, 2011 | Feb 24, 2020 | Common Stock | 777,652 | 777,652 | 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.
- F2Adjusted to reflect the two-for-one split of Fiserv, Inc. common stock distributed at the close of business on March 19, 2018 to holders of record on March 5, 2018.
- F3This transaction was executed in multiple trades at prices ranging from $72.86 to $73.57 as adjusted to reflect the two-for-one split of Fiserv, Inc. common stock distributed at the close of business on March 19, 2018 to holders of record on March 5, 2018. The price reported above reflects the weighted average sale price as adjusted to reflect this stock split. 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 $73.62 to $74.04 as adjusted to reflect the two-for-one split of Fiserv, Inc. common stock distributed at the close of business on March 19, 2018 to holders of record on March 5, 2018. The price reported above reflects the weighted average sale price as adjusted to reflect this stock split. 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.
- F6One-third of these options vest on each anniversary of the grant date.