SEC Form 4 · accession 0001214659-17-000822
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 6, 2017
Accepted (ET)
Feb 7, 2017 · 6:39 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 6, 2017 | M | 6,375 | $40.01 | A | 24,809 | D | |
| Common StockF1,F2 | Feb 6, 2017 | S | 5,825 | $123.6819 | D | 18,984 | D | |
| Common StockF1,F3 | Feb 6, 2017 | S | 550 | $124.5582 | D | 18,434 | D | |
| Common Stock | holding | — | — | — | 5,000 | I | Treehouse Vineyards LLC | |
| Common Stock | holding | — | — | — | 9,602 | I | A. George Battle 2011 Separate Property Trust |
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) | $40.01 | Feb 6, 2017 | M | 6,375 | D | Feb 12, 2007 | Feb 11, 2017 | 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 $123.13 to $124.06. 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 $124.18 to $124.90 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.