SEC Form 4 · accession 0000899243-16-012833
FIRST DATA CORP · FDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J Plumeri
Director
Period of report
Oct 14, 2015
Accepted (ET)
Feb 8, 2016 · 7:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000883980
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1,F2,F3 | $14.23 | Oct 14, 2015 | J | 170,836 | D | — | Jan 28, 2025 | Class B Common Stock | 170,836 | 170,836 | D |
| Stock Options (right to buy)F1,F4 | $13.00 | Feb 4, 2016 | A | 75,473 | A | — | Jan 15, 2025 | Class A Common Stock | 75,473 | 75,473 | D |
Explanation of responses
- F1Effective October 14, 2015, the Reporting Person agreed to modify the stock options granted to him on January 28, 2015 such that instead of expiring on January 28, 2025, they are scheduled to expire on October 14, 2020.
- F2These stock options vest in equal annual installments on each of the first three anniversaries of January 1, 2015, subject to continued service through each applicable vesting date.
- F3Shares of Class B common stock of First Data Corporation ("the Issuer") are convertible into shares of Class A common stock of the Issuer 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.
- F4These stock options vest in equal annual installments on each of the first three anniversaries of February 4, 2016, subject to continued service through each applicable vesting date.