SEC Form 4 · accession 0001209191-18-032977
FIRST DATA CORP · FDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony S Marino
Officer — See remarks
Period of report
May 23, 2018
Accepted (ET)
May 24, 2018 · 4:28 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 | May 23, 2018 | C | 3,627 | $0.00 | A | 273,727 | D | |
| Class A Common StockF2 | May 23, 2018 | S | 3,627 | $19.4923 | D | 270,100 | D | |
| Class A Common StockF3 | holding | — | — | — | 100 | I | See footnote |
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 StockF4 | — | May 23, 2018 | C | 3,627 | D | — | — | Class A Common Stock | 3,627 | 47,437 | 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 $19.4901 to $19.4950, 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.
- F3Held by the reporting person's children.
- F4Shares 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.
Remarks
Executive Vice President, Head of Human Resources