Statement of Changes in Beneficial Ownership (4)
January 28 2020 - 5:25PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Caldart Gilberto |
2. Issuer Name and Ticker or Trading Symbol
Mastercard Inc
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MA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, International |
(Last)
(First)
(Middle)
2000 PURCHASE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/27/2020 |
(Street)
PURCHASE, NY 10577
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 1/27/2020 | | M | | 20964 (1) | A | $90.13 | 20964 | D | |
Class A Common Stock | 1/27/2020 | | S | | 400 (1) | D | $313.6275 (2) | 20564 | D | |
Class A Common Stock | 1/27/2020 | | S | | 2698 (1) | D | $315.6674 (3) | 17866 | D | |
Class A Common Stock | 1/27/2020 | | S | | 5082 (1) | D | $316.5571 (4) | 12784 | D | |
Class A Common Stock | 1/27/2020 | | S | | 8677 (1) | D | $317.5682 (5) | 4107 | D | |
Class A Common Stock | 1/27/2020 | | S | | 3897 (1) | D | $318.558 (6) | 210 | D | |
Class A Common Stock | 1/27/2020 | | S | | 210 (1) | D | $319.1829 (7) | 0 | D | |
Class A Common Stock | | | | | | | | 54204.80 | I | See footnote below (8) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right ro buy) | $90.13 | 1/27/2020 | | M | | | 20964 (1) | (9) | 3/1/2025 | Class A Common Stock | 20964.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The transactions reported in this Form 4 were effected pursuant to a pre-planned trading plan entered into in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. The pre-planned trading plan was adopted by the reporting person for personal financial management purposes on December 12, 2019. |
(2) | This transaction was executed in multiple trades at prices ranging from $313.52 to $313.79. The price reported reflects the weighted average sales 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. |
(3) | This transaction was executed in multiple trades at prices ranging from $315.00 to $315.99. The price reported reflects the weighted average sales 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. |
(4) | This transaction was executed in multiple trades at prices ranging from $316.03 to $316.96. The price reported reflects the weighted average sales 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. |
(5) | This transaction was executed in multiple trades at prices ranging from $317.04 to $318.00. The price reported reflects the weighted average sales 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. |
(6) | This transaction was executed in multiple trades at prices ranging from $318.11 to $319.04. The price reported reflects the weighted average sales 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. |
(7) | This transaction was executed in multiple trades at prices ranging from $319.14 to $319.23. The price reported reflects the weighted average sales 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. |
(8) | The shares are held by a family-owned company, controlled by the reporting person. |
(9) | The reporting person was awarded 20,964 employee stock options on March 1, 2015, which vested in four equal annual installments, beginning on March 1, 2016. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Caldart Gilberto 2000 PURCHASE STREET PURCHASE, NY 10577 |
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| President, International |
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Signatures
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Craig Brown, as attorney-in-fact for Gilberto Caldart pursuant to a power of attorney dated May 11, 2018 | | 1/28/2020 |
**Signature of Reporting Person | Date |
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