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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 19.13 | 09/29/2006 | A | 167,649 | (2) | 09/29/2016 | Common Stock | 167,649 | $ 0 | 167,649 | D | ||||
Employee Stock Option (Right to Buy) | $ 9 | 09/29/2006 | A | 65,865 (3) | (4) | 05/28/2007 | Common Stock | 65,865 | $ 0 | 65,865 | D | ||||
Employee Stock Option (Right to Buy) | $ 6.09 | 09/29/2006 | A | 32,932 (3) | (4) | 01/21/2008 | Common Stock | 32,932 | $ 0 | 32,932 | D | ||||
Employee Stock Option (Right to Buy) | $ 6.09 | 09/29/2006 | A | 7,315 (3) | (4) | 01/21/2008 | Common Stock | 7,315 | $ 0 | 7,315 | D | ||||
Employee Stock Option (Right to Buy) | $ 6.19 | 09/29/2006 | A | 109,775 (3) | (4) | 12/09/2008 | Common Stock | 109,775 | $ 0 | 109,775 | D | ||||
Employee Stock Option (Right to Buy) | $ 10.21 | 09/29/2006 | A | 109,775 (3) | (4) | 12/08/2009 | Common Stock | 109,775 | $ 0 | 109,775 | D | ||||
Employee Stock Option (Right to Buy) | $ 13.54 | 09/29/2006 | A | 219,550 (3) | (4) | 02/07/2011 | Common Stock | 219,550 | $ 0 | 219,550 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.77 | 09/29/2006 | A | 175,640 (3) | (4) | 02/06/2012 | Common Stock | 175,640 | $ 0 | 175,640 | D | ||||
Employee Stock Option (Right to Buy) | $ 15.62 | 09/29/2006 | A | 131,730 (3) | (4) | 02/05/2013 | Common Stock | 131,730 | $ 0 | 131,730 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.59 | 09/29/2006 | A | 219,550 (3) | (4) | 02/25/2014 | Common Stock | 219,550 | $ 0 | 219,550 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.25 | 09/29/2006 | A | 219,550 (3) | (4) | 02/23/2015 | Common Stock | 219,550 | $ 0 | 219,550 | D | ||||
Employee Stock Option (Right to Buy) | $ 20.65 | 09/29/2006 | A | 329,325 (3) | (5) | 02/22/2016 | Common Stock | 329,325 | $ 0 | 329,325 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BATTISTA GUY A 12500 EAST BELFORD AVENUE ENGLEWOOD, CO 80112 |
EVP & Pres. WU FIN. SVCS, Inc. |
/s/ Sarah J. Kilgore as Attorney-in-Fact for Guy A. Battista | 10/03/2006 | |
**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) | Restricted stock award which vests in full, if the executive is still employed by the company at the time, on the third anniversary of the date of grant. |
(2) | This option vests in four equal annual installments beginning on September 29, 2006. |
(3) | Represents option acquired by reporting person as a result of the adjustment of an option to purchase shares of First Data Corporation common stock held by the reporting person. This adjustment occurred pursuant to the terms of the Employee Matters Agreement, dated September 29, 2006, between Western Union Company and First Data Corporation. |
(4) | This option is presently exercisable in full. |
(5) | This option vests in four equal annual installments beginning on February 22, 2007. |