SEC Form 4 · accession 0001209191-16-145935
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, 2016
Accepted (ET)
Oct 14, 2016 · 4:33 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 Stock | Oct 12, 2016 | F | 1,998 | $13.25 | D | 59,492 | 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 | — | Oct 12, 2016 | F | 362 | D | — | — | Class A Common Stock | 362 | 31,109 | D |
Explanation of responses
- F1Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.
- F2Shares of Class B common stock (Class B Common Stock) of First Data Corporation (FDC) are convertible into shares of Class A common stock of FDC (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 FDC, automatically upon transfer, with certain exceptions, and upon certain other events.
- F3Includes 28,453 shares of restricted Class B common stock, 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 4,339 of which will vest in two equal installments on October 12, 2017 and October 12, 2018, subject to continued employment through the applicable vesting dates.
Remarks
Chief Accounting Officer, Controller