SEC Form 4 · accession 0000899243-16-018051
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
Apr 11, 2016
Accepted (ET)
Apr 13, 2016 · 4:46 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1,F3 | — | Apr 11, 2016 | F | 930 | D | — | — | Class A Common Stock | 930 | 31,471 | D |
Explanation of responses
- F1Shares 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.
- F2Represents shares withheld to pay tax obligations in connection with the vesting of restricted stock awards.
- F3Includes 29,537 shares of restricted Class B common stock of the Issuer, including 12,654 of which will vest on January 1, 2017, 11,460 of which will vest in two equal installments on January 1, 2017 and January 1, 2018 and 5,423 of which (i) 20% will vest on October 12, 2016, (ii) 40% will vest on October 12, 2017 and (iii) the remaining 40% will vest on October 12, 2018, subject to continued employment through the applicable vesting dates.
Remarks
Title - Chief Accounting Officer; Controller