Statement of Changes in Beneficial Ownership (4)
January 06 2020 - 12:14PM
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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3235-0287
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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
*
McLaughlin Edward Grunde |
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, Operations & Tech |
(Last)
(First)
(Middle)
2000 PURCHASE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/2/2020 |
(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 | 1/2/2020 | | M | | 10000 (1) | A | $77.72 | 43215.396 | D | |
Class A Common Stock | 1/2/2020 | | M | | 10818 (1) | A | $90.13 | 54033.396 | D | |
Class A Common Stock | 1/2/2020 | | S | | 1502 (1) | D | $300.5844 (2) | 52531.396 | D | |
Class A Common Stock | 1/2/2020 | | S | | 8344 (1) | D | $301.6956 (3) | 44187.396 | D | |
Class A Common Stock | 1/2/2020 | | S | | 17541 (1) | D | $302.4485 (4) | 26646.396 | D | |
Class A Common Stock | 1/2/2020 | | S | | 1139 (1) | D | $303.1704 (5) | 25507.396 | D | |
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) | $77.72 | 1/2/2020 | | M | | | 10000 (1) | (6) | 3/1/2024 | Class A Common Stock | 10000.0 | $0 | 0 | D | |
Employee Stock Option (right ro buy) | $90.13 | 1/2/2020 | | M | | | 10818 (1) | (7) | 3/1/2025 | Class A Common Stock | 10818.0 | $0 | 7258 | 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 November 14, 2019. |
(2) | This transaction was executed in multiple trades at prices ranging from $299.95 to $300.91. 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 $301.10 to $302.09. 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 $302.10 to $303.09. 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 $303.11 to $303.45. 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) | The reporting person was awarded 20,120 employee stock options on March 1, 2014, which vested in four equal annual installments, beginning on March 1, 2015. |
(7) | The reporting person was awarded 18,076 employee stock options on March 1, 2015, which vested in four equal annual installments beginning on March 1, 2016. Of these, 7,258 remain and are fully vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McLaughlin Edward Grunde 2000 PURCHASE STREET PURCHASE, NY 10577 |
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| President, Operations & Tech |
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Signatures
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/s/ Craig Brown, attorney-in-fact for Edward McLaughlin pursuant to a power of attorney dated April 21, 2017 | | 1/6/2020 |
**Signature of Reporting Person | Date |
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