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FISERV INC — Director's Dealing 2020
May 22, 2020
29938_dirs_2020-05-22_d6c3e757-71b0-4345-86eb-a012bd1c871c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: FISERV INC (FISV)
CIK: 0000798354
Period of Report: 2020-05-20
Reporting Person: YABUKI JEFFERY W (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-05-20 | Common Stock | S | 8514 | $104.07 | Disposed | 357023 | Direct |
| 2020-05-20 | Common Stock | S | 15005 | $104.91 | Disposed | 342018 | Direct |
| 2020-05-20 | Common Stock | S | 6481 | $105.65 | Disposed | 335537 | Direct |
| 2020-05-20 | Common Stock | M | 270000 | $16.32 | Acquired | 605537 | Direct |
| 2020-05-20 | Common Stock | S | 56991 | $103.72 | Disposed | 548546 | Direct |
| 2020-05-20 | Common Stock | S | 170670 | $104.90 | Disposed | 377876 | Direct |
| 2020-05-20 | Common Stock | S | 42339 | $105.69 | Disposed | 335537 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-05-20 | Employee Stock Option (right to buy) | $16.32 | M | 270000 | Disposed | 2022-02-22 | Common Stock (270000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 341858 | Indirect |
Footnotes
F1: This sale was effected pursuant to a Rule 10b5-1 trading plan which was entered into by the reporting person for estate and financial planning purposes.
F2: This transaction was executed in multiple trades at prices ranging from $103.53 to $104.47. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: This transaction was executed in multiple trades at prices ranging from $104.48 to $105.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4: This transaction was executed in multiple trades at prices ranging from $105.34 to $105.89. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F5: This transaction was executed in multiple trades at prices ranging from $103.45 to $104.44. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F6: This transaction was executed in multiple trades at prices ranging from $104.47 to $105.46. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F7: This transaction was executed in multiple trades at prices ranging from $105.47 to $106.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F8: By the Yabuki Family Foundation of which Mr. Yabuki serves as trustee.
F9: This option vested in three equal installments on February 22, 2013, 2014 and 2015.