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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 | (5) | 12/13/2016 | M | 4,166 | 12/13/2013(6) | (7) | Common Stock | 4,166 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 12/13/2016 | M | 6,469 | 12/13/2014(6) | (7) | Common Stock | 6,469 | $ 0 | 6,469 | D | ||||
Performance Share Units | (8) | 12/13/2016 | M | 6,667 | 12/13/2013(9) | (7) | Common Stock | 6,667 | $ 0 | 0 | D | ||||
Performance Share Units | (8) | 12/13/2016 | M | 17,252 | 12/13/2014(10) | (7) | Common Stock | 17,252 | $ 0 | 0 | D | ||||
Market Share Units | (11) | 12/13/2016 | M | 26,569 | 12/13/2016 | (7) | Common Stock | 26,569 | $ 0 | 0 | D | ||||
Non Qualified Stock Option (right to buy) | $ 36.01 | 12/13/2016 | M | 30,000 (2) | 01/27/2013(12) | 01/26/2019 | Common Stock | 3,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LANSING WILLIAM J 181 METRO DRIVE SAN JOSE, CA 95110 |
President and CEO |
/s/Nancy E. Fraser, Attorney-in-fact | 12/14/2016 | |
**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) | Shares withheld by Company for payment of taxes due at vesting from restricted stock units, earned performance share units and earned market share units. |
(2) | Exercised and sold pursuant to reporting person's 10b5-1 plan. |
(3) | This transaction was executed in multiple trades at prices ranging from $121.74 to $122.70. The price reported above reflects the weighted average sale 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 transactions were effected. |
(4) | This transaction was executed in multiple trades at prices ranging from $122.7510 to $123.10. The price reported above reflects the weighted average sale 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 transactions were effected. |
(5) | Each restricted stock unit represents a right to receive one share of Fair Isaac common stock contingent upon continued employment. |
(6) | The restricted stock units vest in four equal annual installments commencing on this date and vested shares will be delivered to the reporting person as soon as practicable thereafter. |
(7) | No expiration date. |
(8) | Each earned performance share unit represents a right to receive one share of Fair Isaac common stock contingent upon continued employment. |
(9) | The performance share units vest in four equal annual installments commencing on this date and one share will be delivered to the reporting person for each vested unit as soon as practicable thereafter. |
(10) | The performance share units vest in three equal annual installments commencing on this date and vested shares will be delivered to the reporting person as soon as practicable thereafter. |
(11) | Each earned market share unit represents a right to receive one share of Fair Isaac common stock contingent upon continued employment. |
(12) | This option vests in four equal annual installments commencing on this date. |