0001209191-19-043553.txt : 20190729 0001209191-19-043553.hdr.sgml : 20190729 20190729172204 ACCESSION NUMBER: 0001209191-19-043553 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190729 FILED AS OF DATE: 20190729 DATE AS OF CHANGE: 20190729 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PLUMERI JOSEPH J CENTRAL INDEX KEY: 0001207552 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11073 FILM NUMBER: 19982461 MAIL ADDRESS: STREET 1: TEN TRINITY SQUARE CITY: LONDON STATE: X0 ZIP: 00000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST DATA CORP CENTRAL INDEX KEY: 0000883980 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 470731996 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 225 LIBERTY STREET STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: (800) 735-3362 MAIL ADDRESS: STREET 1: 225 LIBERTY STREET STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-07-29 1 0000883980 FIRST DATA CORP FDC 0001207552 PLUMERI JOSEPH J C/O FIRST DATA CORPORATION 225 LIBERTY STREET, 29TH FLOOR NEW YORK NY 10281 1 0 0 0 Class A Common Stock 2019-07-29 4 D 0 751762 D 0 D Class B Common Stock 2019-07-29 4 D 0 1140001 D Class A Common Stock 1140001 0 D Stock Options (right to buy) 11.07 2019-07-29 4 D 0 316364 D 2023-10-12 Class B Common Stock 316364 0 D Stock Options (right to buy) 12.65 2019-07-29 4 D 0 632729 D 2024-05-13 Class B Common Stock 632729 0 D Stock Options (right to buy) 14.23 2019-07-29 4 D 0 170836 D 2020-10-14 Class B Common Stock 170836 0 D Stock Options (right to buy) 13.00 2019-07-29 4 D 0 75473 D 2025-01-15 Class A Common Stock 75473 0 D Stock Options (right to buy) 12.52 2019-07-29 4 D 0 144501 D 2026-02-24 Class A Common Stock 144501 0 D Units in Director Deferred Compensation Plan 2019-07-29 4 D 0 3163.64 D Class A Common Stock 3163.64 0 D Pursuant to the Agreement and Plan of Merger dated January 16, 2019 (Merger Agreement) among First Data Corporation (Issuer), Fiserv, Inc. (Fiserv), and 300 Holdings, Inc. (Merger Sub), upon the effective time of the merger of Merger Sub into Issuer (the Merger) on July 29, 2019, each common share of the Issuer was converted in the right to receive 0.303 shares of Fiserv common stock (the exchange ratio). Shares of Class B common stock were 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. These stock options are fully vested and exercisable. Pursuant to the Merger Agreement, immediately after the effective time of the Merger, the option was converted into an option to purchase a number of shares of Fiserv common stock equal to the number of shares of Issuer common stock subject to such option award immediately prior the effective time multiplied by the exchange ratio, with an exercise price per share equal to the exercise price per share of such stock option immediately prior to the effective time divided by the exchange ratio. Each unit represents the economic equivalent of one share of Class A common stock of the Issuer. The units became payable in cash upon the reporting person's termination of service as a director of the Issuer. Pursuant to the terms of the Issuer's 2008 Non-Employee Director Deferred Compensation Plan, each unit will be paid out in cash equal to the closing price of one share of the Issuer's Class A common stock on the day before the effective time of the Merger. /s/ Gretchen A. Herron, by power of attorney 2019-07-29