SEC Form 3 · accession 0000899243-15-006772
FIRST DATA CORP · FDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sanjiv Das
Officer — See Remarks
Period of report
Oct 15, 2015
Accepted (ET)
Oct 15, 2015 · 5:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000883980
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | holding | — | — | — | 316,365 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF2,F3 | — | holding | — | — | — | — | — | Class A Common Stock | 257,045 | — | D |
| Stock Options (right to buy)F4,F2 | $12.65 | holding | — | — | — | — | May 13, 2024 | Class B Common Stock | 316,364 | — | D |
| Stock Options (right to buy)F5,F2 | $14.23 | holding | — | — | — | — | Jan 28, 2025 | Class B Common Stock | 65,909 | — | D |
| Stock Options (right to buy)F6 | $16.00 | holding | — | — | — | — | Oct 14, 2025 | Class A Common Stock | 474,547 | — | D |
Explanation of responses
- F1Represents a grant of restricted Class A common stock ("Class A Common Stock") of First Data Corporation (the "Issuer"), of which, subject to the reporting person's continued employment through each applicable vesting date, two thirds will vest over time, with one fourth of such amount vesting on each of December 31, 2017, 2018, 2019 and 2020, and one third will vest upon the Issuer's achievement of a closing trading price of the Class A Common Stock equal to or greater than $32.00 per share over any ten consecutive trading-day period following the Issuer's initial public offering.
- F2Shares of Class B common stock of the Issuer ("Class B Common Stock") are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the Issuer, automatically upon transfer, with certain exceptions, and upon certain other events.
- F3Includes 257,045 shares of restricted Class B Common Stock, including 158,182 of which will vest on May 13, 2017 and 98,863 of which (i) 20% will vest upon the expiration of the 180-day lock-up period in connection with the Issuer's initial public offering, (ii) 40% will vest on January 1, 2017 and (iii) the remaining 40% will vest on January 1, 2018, subject to continued employment through the applicable vesting dates.
- F4These stock options vest in equal annual installments on each of the first five anniversaries of May 13, 2014, subject to continued employment through each applicable vesting date.
- F5These stock options vest in equal annual installments on each of the first three anniversaries of January 1, 2015, subject to continued employment through each applicable vesting date.
- F6Of the 474,547 stock options granted, subject to the reporting person's continued service through each applicable vesting date, two thirds will vest over time, with one fourth of such amount vesting on each of December 31, 2017, 2018, 2019 and 2020, and one third will vest upon the Issuer's achievement of a closing trading price of the Class A Common Stock equal to or greater than $32.00 per share over any ten consecutive trading-day period following the Issuer's initial public offering.
Remarks
Title - Executive Vice President, Co-Head of Global Financial Solutions and Head of EMEA and APAC Regions Exhibit 24 - Power of Attorney