SEC Form 4 · accession 0001214659-16-015325
FAIR ISAAC CORP · FICO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Deal
Officer — Executive Vice President
Period of report
Dec 13, 2016
Accepted (ET)
Dec 14, 2016 · 4:21 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 Stock | Dec 13, 2016 | M | 2,500 | $0.00 | A | 27,702 | D | |
| Common Stock | Dec 13, 2016 | M | 1,745 | $0.00 | A | 29,447 | D | |
| Common Stock | Dec 13, 2016 | M | 4,000 | $0.00 | A | 33,447 | D | |
| Common Stock | Dec 13, 2016 | M | 4,652 | $0.00 | A | 38,099 | D | |
| Common Stock | Dec 13, 2016 | M | 7,166 | $0.00 | A | 45,265 | D | |
| Common StockF1 | Dec 13, 2016 | F | 9,670 | $121.67 | D | 35,595 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3,F4 | — | Dec 13, 2016 | M | 2,500 | D | Dec 13, 2013 | — | Common Stock | 2,500 | 0 | D |
| Restricted Stock UnitsF2,F3,F4 | — | Dec 13, 2016 | M | 1,745 | D | Dec 13, 2014 | — | Common Stock | 1,745 | 1,744 | D |
| Performance Share UnitsF5,F6,F4 | — | Dec 13, 2016 | M | 4,000 | D | Dec 13, 2013 | — | Common Stock | 4,000 | 0 | D |
| Performance Share UnitsF5,F7,F4 | — | Dec 13, 2016 | M | 4,652 | D | Dec 13, 2014 | — | Common Stock | 4,652 | 0 | D |
| Market Share UnitsF8,F4 | — | Dec 13, 2016 | M | 7,166 | D | Dec 13, 2016 | — | Common Stock | 7,166 | 0 | D |
Explanation of responses
- F1Shares withheld by Company for payment of taxes due at vesting from restricted stock units, earned performance share units and earned market share units.
- F2Each restricted stock unit represents a right to receive one share of Fair Isaac common stock contingent upon continued employment.
- F3The restricted stock units vest in four equal annual installments commencing on this date and vested shares will be delivered to the reporting person as soon as practicable thereafter.
- F4No expiration date.
- F5Each earned performance share unit represents a right to receive one share of Fair Isaac common stock contingent upon continued employment.
- F6The performance share units vest in four equal annual installments commencing on this date and one share will be delivered to the reporting person for each vested unit as soon as practicable thereafter.
- F7The performance share units vest in three equal annual installments commencing on this date and one share will be delivered to the reporting person for each vested unit as soon as practicable thereafter.
- F8Each earned market share unit represents a right to receive one share of Fair Isaac common stock contingent upon continued employment.