SEC Form 4 · accession 0001209191-18-060238
FIRST DATA CORP · FDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gustavo Marin
Officer — See remarks
Period of report
Nov 28, 2018
Accepted (ET)
Nov 29, 2018 · 4:29 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 StockF1 | Nov 28, 2018 | C | 229,362 | $0.00 | A | 758,444 | D | |
| Class A Common Stock | Nov 28, 2018 | G | 229,362 | $0.00 | D | 529,082 | D | |
| Class A Common Stock | Nov 28, 2018 | G | 229,362 | $0.00 | A | 229,362 | I | By family corporation |
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 | — | Nov 28, 2018 | C | 229,362 | D | — | — | Class A Common Stock | 229,362 | 0 | D |
Explanation of responses
- F1Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.
- F2Mr. Marin transferred these shares to a family corporation.
- 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.
Remarks
Executive Vice President