SEC Form 4 · accession 0001209191-17-053345
FIRST DATA CORP · FDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Joseph Higgins
Officer — See remarks
Period of report
Sep 15, 2017
Accepted (ET)
Sep 19, 2017 · 5:47 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 | Sep 15, 2017 | C | 30,706 | $0.00 | A | 347,493 | D | |
| Class A Common StockF2 | Sep 15, 2017 | S | 31,718 | $18.1483 | D | 315,775 | D | |
| Class A Common Stock | holding | — | — | — | 2,500 | I | By spouse |
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 StockF3,F4 | — | Sep 15, 2017 | C | 30,706 | D | — | — | Class A Common Stock | 30,706 | 107,938 | D |
Explanation of responses
- F1Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.
- F2The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $18.04 to $18.20, inclusive. Upon request of the SEC staff, First Data Corporation (FDC), or a security holder of FDC, the reporting person will provide full information regarding the number of shares purchased at each separate price.
- F3Shares of 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.
- F4Includes 15,818 shares of restricted Class B common stock.
Remarks
Executive Vice President, Chief Administrative Officer