SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 10/15/2015 | 3. Issuer Name and Ticker or Trading Symbol FIRST DATA CORP [ FDC ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B Common Stock | (1) | (1) | Class A Common Stock | 21,750,064 | 0.00 | I | See explanation of responses(2)(3)(4)(5)(6) |
Class B Common Stock | (1) | (1) | Class A Common Stock | 5,413,702 | 0.00 | D(3)(6) | |
Class B Common Stock | (1) | (1) | Class A Common Stock | 317,519 | 0.00 | D(3)(6) | |
Class B Common Stock | (1) | (1) | Class A Common Stock | 10,144,738 | 0.00 | D(3)(6) | |
Class B Common Stock | (1) | (1) | Class A Common Stock | 5,874,105 | 0.00 | D(3)(6) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Prior to the consummation of the Issuer's initial public offering, First Data Holdings Inc. ("Holdings"), the direct parent company of the Issuer, merged with and into the Issuer with the Issuer being the surviving entity (the "Merger"). In connection with the Merger, all shares of Holdings' capital stock previously owned by the Reporting Persons (as defined below) will be converted into shares of Class B common stock of the Issuer and the Issuer will also effect a 3.16091-for-one reverse stock split of its capital stock (together with the Merger, the "Reorganization"). Each share of Class B common stock of the Issuer will be convertible into one share of Class A common stock of the Issuer automatically upon transfer, subject to certain exceptions. These securities have no expiration date. |
2. O. Andreas Halvorsen, David C. Ott and Daniel S. Sundheim are Executive Committee members of certain management entities, including Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP") and Viking Long Fund GP LLC ("VLFGP"). VGI provides managerial services to various investment funds, including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II"), VGE III Portfolio Ltd. ("VGE III") and Viking Long Fund Master Ltd. ("VLFM", together with VGE, VGE II and VGE III, the "Viking Funds"; and the Viking Funds together with Mr. Halvorsen, Mr. Ott, Mr. Sundheim, VGI, VGP and VLFGP, the "Reporting Persons"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of VLFM. |
3. VGI provides managerial services to (i) VGE, which directly holds 17,112,226 shares of Holdings Class B common stock that will convert into 5,413,702 shares of Class B common stock of the Issuer in the Reorganization; (ii) VGE II, which directly holds 1,003,650 shares of Holdings Class B common stock that will convert into 317,519 shares of Class B common stock of the Issuer in the Reorganization; (iii) VGE III, which directly holds 32,066,606 shares of Holdings Class B common stock that will convert into 10,144,738 shares of Class B common stock of the Issuer in the Reorganization; and (iv) VLFM, which directly holds 18,567,518 shares of Holdings Class B common stock that will convert into 5,874,105 shares of Class B common stock of the Issuer in the Reorganization. |
4. Because of the relationships between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Class B common stock directly held by the Viking Funds. VGP is the general partner of VGE and VGE II and the investment manager of VGE III. Because of the relationships between VGP and VGE, VGE II and VGE III, respectively, VGP may be deemed to beneficially own the shares of Class B common stock directly held by VGE, VGE II and VGE III. |
5. VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Class B common stock directly held by VLFM. |
6. The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. |
Remarks: |
(7) The Reporting Persons are jointly filing this Form 3 pursuant to Rule 16a-3(j) under the Exchange Act. (8) Each of O. Andreas Halvorsen, David C. Ott and Daniel S. Sundheim is signing individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES LP, VIKING GLOBAL EQUITIES II LP and VGE III PORTFOLIO LTD., and as an Executive Committee Member of VIKING LONG FUND GP LLC, on behalf of itself and VIKING LONG FUND MASTER LTD. |
/s/ O. Andreas Halvorsen (7)(8) | 10/15/2015 | |
/s/ David C. Ott (7)(8) | 10/15/2015 | |
/s/ Daniel S. Sundheim (7)(8) | 10/15/2015 | |
** 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 5 (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. |