Statement of Changes in Beneficial Ownership (4)
30 5월 2019 - 5:34AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Patel Himanshu A.
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2. Issuer Name
and
Ticker or Trading Symbol
FIRST DATA CORP
[
FDC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
See remarks
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(Last)
(First)
(Middle)
C/O FIRST DATA CORPORATION, 225 LIBERTY STREET, 29TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/24/2019
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(Street)
NEW YORK, NY 10281
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock
(1)
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5/24/2019
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C
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240569
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A
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$0.00
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1008523
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D
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Class A Common Stock
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5/24/2019
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M
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52727
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A
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$16.00
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1061250
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D
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Class A Common Stock
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5/24/2019
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M
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17541
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A
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$12.52
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1078791
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D
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Class A Common Stock
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5/24/2019
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S
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399979
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D
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$25.833
(2)
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678812
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Options (right to buy)
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$11.07
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5/24/2019
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M
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217501
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(3)
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6/3/2023
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Class B Common Stock
(4)
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217501
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$0.00
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652501
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D
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Stock Options (right to buy)
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$12.65
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5/24/2019
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M
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9886
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(3)
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2/10/2024
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Class B Common Stock
(4)
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9886
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$0.00
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29659
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D
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Stock Options (right to buy)
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$14.23
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5/24/2019
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M
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13182
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(3)
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1/14/2025
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Class B Common Stock
(4)
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13182
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$0.00
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39545
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D
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Class B Common Stock
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(4)
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5/24/2019
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M
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217501
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(4)
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(4)
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Class A Common Stock
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217501
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$11.07
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405677
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D
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Class B Common Stock
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(4)
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5/24/2019
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M
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9886
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(4)
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(4)
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Class A Common Stock
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9886
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$12.65
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415563
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D
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Class B Common Stock
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(4)
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5/24/2019
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M
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13182
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(4)
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(4)
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Class A Common Stock
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13182
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$14.23
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428745
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D
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Class B Common Stock
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(4)
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5/24/2019
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C
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240569
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(4)
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(4)
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Class A Common Stock
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240569
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$0.00
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188176
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D
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Stock Option (right to buy)
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$16.00
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5/24/2019
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M
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52727
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(3)
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10/15/2025
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Class A Common Stock
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52727
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$0.00
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580002
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D
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Stock Option (right to buy)
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$12.52
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5/24/2019
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M
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17541
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(3)
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2/24/2026
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Class A Common Stock
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17541
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$0.00
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52623
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D
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Explanation of Responses:
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(1)
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Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.
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(2)
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The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $25.80 to $25.915, 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.
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(3)
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These stock options are fully vested and exercisable.
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(4)
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Shares 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.
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Remarks:
Executive Vice President, Chief Financial Officer
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Patel Himanshu A.
C/O FIRST DATA CORPORATION
225 LIBERTY STREET, 29TH FLOOR
NEW YORK, NY 10281
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See remarks
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Signatures
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/s/ Gretchen A. Herron, by power of attorney
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5/29/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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