SEC Form 4 · accession 0000899243-16-014534
FIRST DATA CORP · FDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Cagwin
Officer — See Remarks
Period of report
Oct 12, 2015
Accepted (ET)
Feb 26, 2016 · 5:26 pm EST
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 Stock | Feb 24, 2016 | A | 29,951 | $0.00 | A | 29,951 | D | |
| Class A Common Stock | Feb 24, 2016 | A | 31,539 | $0.00 | A | 61,490 | 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 StockF5,F3,F4 | — | Oct 12, 2015 | A | 5,423 | A | — | — | Class A Common Stock | 5,423 | 32,401 | D |
Explanation of responses
- F1Represents a grant of restricted stock units which, subject to the reporting person's continued employment through each applicable vesting date, will vest 20% on October 12, 2016, 40% on October 12, 2017 and 40% on October 12, 2018.
- F2Represents a grant of restricted shares of Class A common stock ("Class A Common Stock") which, subject to the reporting person's continued employment through each applicable vesting date, will vest 20% on February 24, 2017, 40% on February 24, 2018 and 40% on February 24, 2019.
- F3Shares of Class B common stock ("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, and upon certain other events.
- F4Represents a previous grant of Class B Common Stock which, subject to the reporting person's continued employment through each applicable vesting date, will vest 20% on October 12, 2016, 40% on October 12, 2017 and 40% on October 12, 2018.
- F5Includes 26,978 shares of restricted Class B Common Stock, including 12,654 of which will vest on January 1, 2017 and 14,324 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.
Remarks
Title - Chief Accounting Officer; Controller