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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Units in Director Deferred Compensation Plan | (3) | 07/01/2015 | A | 1,186.36 | (3) | (3) | Class A Common Stock | 1,186.36 (4) | $ 15.8 (4) | 8,139.82 (4) | D | ||||
Units in Director Deferred Compensation Plan | (3) | 10/01/2015 | A | 1,129.87 | (3) | (3) | Class A Common Stock | 1,129.87 (4) | $ 16.59 (4) | 9,269.69 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MILLER HEIDI C/O 225 LIBERTY STREET 29TH FLOOR NEW YORK, NY 10281 |
X |
/s/ Gretchen A. Herron, by power of attorney | 10/22/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reflects shares of Class A common stock ("Class A Common Stock") of First Data Corporation (the "Issuer") purchased under the Issuer's Directed Share Program in connection with the Issuer's initial public offering. |
(2) | Held by the reporting person's spouse. |
(3) | Each unit represents the economic equivalent of one share of Class A Common Stock. The units become payable in cash upon Ms. Miller's termination of service as a director. |
(4) | Reported on a post-split basis following the merger of First Data Holdings Inc. with and into the Issuer and the Issuer's reverse stock split of 3.16091-for-1 in connection with the Issuer's initial public offering. |