SEC Form 4 · accession 0001214659-16-009242
FAIR ISAAC CORP · FICO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A George Battle
Director
Period of report
Feb 2, 2016
Accepted (ET)
Feb 3, 2016 · 8:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000814547
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 2, 2016 | M | 6,375 | $44.66 | A | 23,202 | D | |
| Common StockF1,F2 | Feb 2, 2016 | S | 2,058 | $94.5079 | D | 21,144 | D | |
| Common StockF1,F3 | Feb 2, 2016 | S | 3,717 | $95.4358 | D | 17,427 | D | |
| Common StockF1,F4 | Feb 2, 2016 | S | 600 | $95.94 | D | 16,827 | D | |
| Common Stock | holding | — | — | — | 9,602 | I | A. George Battle 2011 Separate property Trust | |
| Common Stock | holding | — | — | — | 10,000 | I | Treehouse Vineyards LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to buy)F5 | $44.66 | Feb 2, 2016 | M | 6,375 | D | Feb 6, 2006 | Feb 5, 2016 | Common Stock | 6,375 | 0 | D |
Explanation of responses
- F1Exercised and sold pursuant to reporting person's 10b5-1 plan.
- F2This transaction was executed in multiple trades at prices ranging from $93.8900 to $94.8500. 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 transactions were effected.
- F3This transaction was executed in multiple trades at prices ranging from $94.9100 to $95.8900. 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 transactions were effected.
- F4This transaction was executed in multiple trades at prices ranging from $95.9100 to $95.9900. 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 transactions were effected.
- F5This option vested in full upon this date.