SEC Form 4 · accession 0001209191-18-057778

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

Nov 6, 2018

Accepted (ET)

Nov 8, 2018 · 5:10 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
Class A Common Stock^F1	Nov 6, 2018	C	35,000	$0.00	A	368,571	D
Class A Common Stock^F2	Nov 6, 2018	S	35,000	$18.6885	D	333,571	D
Class A Common Stock^F1	Nov 7, 2018	C	23,219	$0.00	A	356,790	D
Class A Common Stock	Nov 7, 2018	M	16,781	$16.00	A	373,571	D
Class A Common Stock^F3	Nov 7, 2018	S	40,000	$19.4333	D	333,571	D
Class A Common Stock	Nov 8, 2018	M	28,933	$12.52	A	362,504	D
Class A Common Stock	Nov 8, 2018	M	9,582	$16.00	A	372,086	D
Class A Common Stock^F4	Nov 8, 2018	S	38,515	$19.2152	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)^F5,F6	$12.65	Nov 6, 2018	M	21,750	D	—	Feb 10, 2024	Class B Common Stock	21,750	0	D
Stock Options (right to buy)^F5,F6	$14.23	Nov 6, 2018	M	13,250	D	—	Jan 14, 2025	Class B Common Stock	13,250	23,219	D
Class B Common Stock^F6	—	Nov 6, 2018	M	21,750	A	—	—	Class A Common Stock	21,750	190,555	D
Class B Common Stock^F6	—	Nov 6, 2018	M	13,250	A	—	—	Class A Common Stock	13,250	203,805	D
Class B Common Stock^F6	—	Nov 6, 2018	C	35,000	D	—	—	Class A Common Stock	35,000	168,805	D
Stock Options (right to buy)^F5,F6	$14.23	Nov 7, 2018	M	23,219	D	—	Jan 14, 2025	Class B Common Stock	23,219	0	D
Class B Common Stock^F6	—	Nov 7, 2018	M	23,219	A	—	—	Class A Common Stock	23,219	192,024	D
Class B Common Stock^F6	—	Nov 7, 2018	C	23,219	D	—	—	Class A Common Stock	23,219	168,805	D
Stock Options (right to buy)^F5	$16.00	Nov 7, 2018	M	16,781	D	—	Oct 14, 2025	Class A Common Stock	16,781	88,674	D
Stock Options (right to buy)^F5	$16.00	Nov 8, 2018	M	9,582	D	—	Oct 14, 2025	Class A Common Stock	9,582	79,092	D
Stock Option (right to buy)^F5	$12.52	Nov 8, 2018	M	28,933	D	—	Feb 24, 2026	Class A Common Stock	28,933	14,467	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 $18.59 to $18.76, 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.
F3The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $18.98 to $19.63, inclusive. Upon request of the SEC staff, FDC, or a security holder of FDC, the reporting person will provide full information regarding the number of shares purchased at each separate price.
F4The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $19.105 to $19.52, inclusive. Upon request of the SEC staff, FDC, or a security holder of FDC, the reporting person will provide full information regarding the number of shares purchased at each separate price.
F5These stock options are fully vested and exercisable.
F6Shares 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