SEC Form 4 · accession 0001209191-18-001052
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
Jan 1, 2018
Accepted (ET)
Jan 3, 2018 · 5:06 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 | Jan 2, 2018 | A | 59,844 | $0.00 | A | 132,660 | 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,F4 | — | Jan 1, 2018 | F | 2,215 | D | — | — | Class A Common Stock | 2,215 | 21,608 | D |
Explanation of responses
- F1Represents a grant of restricted shares of Class A common stock which, subject to the reporting person's continued employment through each applicable vesting date, will vest 20% on February 15, 2019, 40% on February 15, 2020, and 40% on February 15, 2021.
- F2Shares 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.
- F3Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.
- F4Includes 2,170 shares of restricted Class B common stock.
Remarks
Chief Accounting Officer, Controller