Fiserv, Inc.
FISERV INC (Form: 4, Received: 03/21/2018 18:07:35)
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
                      

1. Name and Address of Reporting Person *

YABUKI JEFFERY W
2. Issuer Name and Ticker or Trading Symbol

FISERV INC [ FISV ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

255 FISERV DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

3/19/2018
(Street)

BROOKFIELD, WI 53045
(City)        (State)        (Zip)
4. 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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   3/19/2018     S    24000   (1) (2) D $73.27   (3) 727030   (2) D    
Common Stock   3/19/2018     S    10000   (1) (2) D $73.80   (4) 717030   (2) D    
Common Stock                  236428   (2) I   By Trust   (5)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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
Stock Option (right to buy)   $69.90   (2)                  2/21/2019   (6) 2/21/2028   Common Stock   178572   (2)   178572   D    
Stock Option (right to buy)   $56.91   (2)                  2/22/2018   (6) 2/22/2027   Common Stock   186818   (2)   186818   D    
Stock Option (right to buy)   $48.33   (2)                  2/19/2017   (6) 2/19/2026   Common Stock   275776   (2)   275776   D    
Stock Option (right to buy)   $39.53   (2)                  2/18/2016   2/18/2025   Common Stock   412992   (2)   412992   D    
Stock Option (right to buy)   $28.49   (2)                  2/19/2015   2/19/2024   Common Stock   503140   (2)   503140   D    
Stock Option (right to buy)   $20.18   (2)                  2/20/2014   2/20/2023   Common Stock   634376   (2)   634376   D    
Stock Option (right to buy)   $16.32   (2)                  2/22/2013   2/22/2022   Common Stock   482700   (2)   482700   D    
Stock Option (right to buy)   $15.43   (2)                  2/23/2012   2/23/2021   Common Stock   658380   (2)   658380   D    
Stock Option (right to buy)   $11.93   (2)                  2/24/2011   2/24/2020   Common Stock   777652   (2)   777652   D    

Explanation of Responses:
(1)  This sale was effected pursuant to a Rule 10b5-1 trading plan which was entered into by the reporting person for estate and financial planning purposes.
(2)  Adjusted to reflect the two-for-one split of Fiserv, Inc. common stock distributed at the close of business on March 19, 2018 to holders of record on March 5, 2018.
(3)  This transaction was executed in multiple trades at prices ranging from $72.86 to $73.57 as adjusted to reflect the two-for-one split of Fiserv, Inc. common stock distributed at the close of business on March 19, 2018 to holders of record on March 5, 2018. The price reported above reflects the weighted average sale price as adjusted to reflect this stock split. 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 $73.62 to $74.04 as adjusted to reflect the two-for-one split of Fiserv, Inc. common stock distributed at the close of business on March 19, 2018 to holders of record on March 5, 2018. The price reported above reflects the weighted average sale price as adjusted to reflect this stock split. 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)  By the Yabuki Family Foundation of which Mr. Yabuki serves as trustee.
(6)  One-third of these options vest on each anniversary of the grant date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
YABUKI JEFFERY W
255 FISERV DRIVE
BROOKFIELD, WI 53045
X
President and CEO

Signatures
/s/ Lynn S. McCreary (attorney-in-fact) 3/21/2018
** Signature of Reporting Person Date


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* 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).
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