Initial Statement of Beneficial Ownership (3)
April 26 2019 - 3:00PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Bhalla Ajay
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/22/2019
|
3. Issuer Name
and
Ticker or Trading Symbol
Mastercard Inc [MA]
|
(Last)
(First)
(Middle)
2000 PURCHASE STREET
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
President Cyber & Intelligence /
|
(Street)
PURCHASE, NY 10577
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Class A Common Stock
|
6357
|
D
|
|
Class A Common Stock
|
106158
|
I
|
See footnote below.
(1)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option (right to buy)
|
(2)
|
3/1/2021
|
Class A Common Stock
|
13480.0
|
$24.03
|
D
|
|
Employee Stock Option (right to buy)
|
(3)
|
3/1/2012
|
Class A Common Stock
|
10120.0
|
$42.04
|
D
|
|
Employee Stock Option (right to buy)
|
(4)
|
3/1/2023
|
Class A Common Stock
|
14200.0
|
$51.83
|
D
|
|
Employee Stock Option (right to buy)
|
(5)
|
4/1/2024
|
Class A Common Stock
|
13996.0
|
$77.72
|
D
|
|
Employee Stock Option (right to buy)
|
(6)
|
3/1/2025
|
Class A Common Stock
|
12292.0
|
$90.13
|
D
|
|
Employee Stock Option (right to buy)
|
(7)
|
3/1/2026
|
Class A Common Stock
|
14128.0
|
$90.1
|
D
|
|
Employee Stock Option (right to buy)
|
(8)
|
3/1/2027
|
Class A Common Stock
|
15896.0
|
$112.31
|
D
|
|
Employee Stock Option (right to buy)
|
(9)
|
3/1/2028
|
Class A Common Stock
|
12224.0
|
$173.49
|
D
|
|
Employee Stock Option (right to buy)
|
(10)
|
3/1/2029
|
Class A Common Stock
|
11784.0
|
$227.25
|
D
|
|
Explanation of Responses:
|
(1)
|
The shares are held by a family-owned company, controlled by the reporting person.
|
(2)
|
The reporting person was awarded 13,480 employee stock options on March 1, 2011, which vested in four equal annual installments beginning on March 1, 2012.
|
(3)
|
The reporting person was awarded 10,120 employee stock options on March 1, 2012, which vested in four equal annual installments beginning on March 1, 2013.
|
(4)
|
The reporting person was awarded 14,200 employee stock options on March 1, 2013, which vested in four equal annual installments beginning on March 1, 2014.
|
(5)
|
The reporting person was awarded 13,996 employee stock options on March 1, 2014, which vested in four equal annual installments beginning on March 1, 2015.
|
(6)
|
The reporting person was awarded 12,292 employee stock options on March 1, 2015, which vested in four equal annual installments beginning on March 1, 2016.
|
(7)
|
The reporting person was awarded 14,128 employee stock options on March 1, 2016, of which 10,596 have vested. The remaining 3,532 employee stock options will vest on March 1, 2020.
|
(8)
|
The reporting person was awarded 15,896 employee stock options on March 1, 2017, of which 7,948 have vested. The remaining 7,948 employee stock options will vest in two equal annual installments beginning on March 1, 2020.
|
(9)
|
The reporting person was awarded 12,224 employee stock options on March 1, 2018, of which 3,056 have vested. The remaining 9,168 employee stock options will vest in three equal annual installments beginning on March 1, 2020
|
(10)
|
The employee stock options vest in four (4) equal annual installments beginning March 1, 2020.
|
Remarks:
Exhibit 24 Power of Attorney is attached
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Bhalla Ajay
2000 PURCHASE STREET
PURCHASE, NY 10577
|
|
|
President Cyber & Intelligence
|
|
Signatures
|
/s/ Craig R. Brown, Assistant Corporate Secretary, attorney-in-fact for Ajay Bhalla pursuant to a power of attorney dated April 23, 2019.
|
|
4/26/2019
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
MasterCard (NYSE:MA)
Historical Stock Chart
From Jun 2024 to Jul 2024
MasterCard (NYSE:MA)
Historical Stock Chart
From Jul 2023 to Jul 2024