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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 | ||||||||
Restricted Stock Units | (2) | 11/30/2015 | A | 9,994 | 02/24/2018 | (2) | Common Stock | 9,994 | $ 0 | 9,994 | D | ||||
Restricted Stock Units | (3) | 11/30/2015 | A | 24,329 | 06/01/2017 | (3) | Common Stock | 24,329 | $ 0 | 24,329 | D | ||||
Restricted Stock Units | (4) | 11/30/2015 | A | 2,703 | 06/01/2017 | (4) | Common Stock | 2,703 | $ 0 | 2,703 | D | ||||
Restricted Stock Units | (5) | 11/30/2015 | A | 7,012 | 02/19/2018 | (5) | Common Stock | 7,012 | $ 0 | 7,012 | D | ||||
Restricted Stock Units | (6) | 11/30/2015 | A | 16,730 | 06/01/2018 | (6) | Common Stock | 16,730 | $ 0 | 16,730 | D | ||||
Restricted Stock Units | (7) | 11/30/2015 | A | 8,365 | (7) | (7) | Common Stock | 8,365 | $ 0 | 8,365 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown Marianne 601 RIVERSIDE AVE JACKSONVILLE, FL 32204 |
Corporate EVP - COO |
/s/ Marc M. Mayo, attorney-in-fact | 12/02/2015 | |
**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) | These shares were acquired on November 30, 2015 (the Effective Date), pursuant to the Agreement and Plan of Merger, dated as of August 12, 2015, by and among Fidelity National Information Services, Inc. (FIS) and SUNGARD and SUNGARD CAPITAL CORP. II, in exchange for vested SunGard equity grants. |
(2) | These RSUs were received in the Merger in exchange for 27,180 SunGard RSUs, will vest one-third on February 24, 2016, February 24, 2017 and February 24, 2018 and distribute in full on February 24, 2018. |
(3) | These RSUs were received in the Merger in exchange for 66,168 SunGard RSUs and will vest in full and distribute on June 1, 2017 |
(4) | These RSUs were received in the Merger in exchange for 7,352 SunGard RSUs, half of which will vest on June 1, 2016 and June 1, 2017 and distribute in full on June 1, 2017. |
(5) | These RSUs were received in the Merger in exchange for 19,070 SunGard RSUs and will vest in full and distribute on February 19, 2018. |
(6) | These RSUs were received in the Merger in exchange for 45,500 SunGard RSUs and will vest in full and distribute on June 1, 2018. |
(7) | These RSUs were received in the Merger in exchange for 22,750 SunGard RSUs and will vest and distribute one-third on each June 1, 2016, June 1, 2017 and June 1, 2018. |