SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol VISA INC. [ V ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 08/12/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | ||||||
Class A Common Stock | 08/12/2021 | G(1) | V | 3,263 | D | $0 | 24,759 | I | JAS GRAT 2020-4 | |
Class A Common Stock | 08/12/2021 | G(1) | V | 3,263 | A | $0 | 19,516 | D | ||
Class A Common Stock | 08/12/2021 | G(1) | V | 3,263 | D | $0 | 24,759 | I | LMS GRAT 2020-4 | |
Class A Common Stock | 08/12/2021 | G(1) | V | 3,263 | A | $0 | 22,779 | D | ||
Class A Common Stock | 08/12/2021 | G | V | 3,263 | D | $0 | 19,516 | D | ||
Class A Common Stock | 08/12/2021 | G | V | 3,263 | A | $0 | 3,263 | I | JAS Trust 4-2020(2) | |
Class A Common Stock | 08/12/2021 | G | V | 3,263 | D | $0 | 16,253 | D | ||
Class A Common Stock | 08/12/2021 | G | V | 3,263 | A | $0 | 3,263 | I | LMS Trust 11-2020(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 |
Explanation of Responses: |
1. The Reporting Person, John A. Swainson (JAS), held 56,044 shares in a Tenants in Common account with his wife, Linda M. Swainson (LMS). On 8/13/2020, JAS transferred his 50% interest in such account (28,022 shares) to the JAS GRAT 2020-4 (a grantor retained annuity trust (GRAT)) and LMS transferred her 50% interest in such account (28,022 shares) to the LMS GRAT 2020-4. Pursuant to the JAS GRAT 2020-4 and LMS GRAT 2020-4 Trust Agreements, an annual annuity payment of 3,263 shares was made to each of JAS and LMS, respectively. JAS is the sole Trustee of the JAS GRAT 2020-4 and the LMS GRAT 2020-4, each of which was established for estate planning purposes. |
2. JAS is the sole Trustee of each of the John A Swainson Irrevocable Trust and the Linda M Swainson Irrevocable Trust, each of which was established for estate planning purposes. |
/s/ Sue Choi, Attorney-In-Fact | 08/17/2021 | |
** 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 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). | ||
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 Number. |