SEC Form 4 · accession 0001209191-18-051416
FIRST DATA CORP · FDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry C McCarthy
Officer — See remarks
Period of report
Sep 14, 2018
Accepted (ET)
Sep 18, 2018 · 4:02 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 14, 2018 | C | 151,203 | $0.00 | A | 484,774 | D | |
| Class A Common StockF2 | Sep 14, 2018 | S | 151,203 | $25.7804 | D | 333,571 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F3,F4 | $9.49 | Sep 14, 2018 | M | 26,693 | D | — | Sep 23, 2019 | Class B Common Stock | 26,693 | 0 | D |
| Stock Options (right to buy)F3,F4 | $9.49 | Sep 14, 2018 | M | 26,693 | D | — | May 12, 2020 | Class B Common Stock | 26,693 | 0 | D |
| Stock Options (right to buy)F3,F4 | $9.49 | Sep 14, 2018 | M | 27,615 | D | — | Mar 18, 2021 | Class B Common Stock | 27,615 | 0 | D |
| Stock Options (right to buy)F3,F4 | $9.49 | Sep 14, 2018 | M | 29,527 | D | — | Mar 8, 2022 | Class B Common Stock | 29,527 | 0 | D |
| Stock Options (right to buy)F3,F4 | $11.07 | Sep 14, 2018 | M | 40,675 | D | — | Jul 20, 2023 | Class B Common Stock | 40,675 | 0 | D |
| Class B Common StockF4 | — | Sep 14, 2018 | M | 26,693 | A | — | — | Class A Common Stock | 26,693 | 195,498 | D |
| Class B Common StockF4 | — | Sep 14, 2018 | M | 26,693 | A | — | — | Class A Common Stock | 26,693 | 222,191 | D |
| Class B Common StockF4 | — | Sep 14, 2018 | M | 27,615 | A | — | — | Class A Common Stock | 27,615 | 249,806 | D |
| Class B Common StockF4 | — | Sep 14, 2018 | M | 29,527 | A | — | — | Class A Common Stock | 29,527 | 279,333 | D |
| Class B Common StockF4 | — | Sep 14, 2018 | M | 40,675 | A | — | — | Class A Common Stock | 40,675 | 320,008 | D |
| Class B Common StockF4 | — | Sep 14, 2018 | C | 151,203 | D | — | — | Class A Common Stock | 151,203 | 168,805 | 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 $25.68 to $25.89, 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.
- F3These stock options are fully vested and exercisable.
- 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