0001141391-20-000108.txt : 20200519 0001141391-20-000108.hdr.sgml : 20200519 20200519164955 ACCESSION NUMBER: 0001141391-20-000108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200518 FILED AS OF DATE: 20200519 DATE AS OF CHANGE: 20200519 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANGA AJAY CENTRAL INDEX KEY: 0001338914 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32877 FILM NUMBER: 20894356 MAIL ADDRESS: STREET 1: C/O CITIGROUP INC. CORPORATE LAW DEPT. STREET 2: 425 PARK AVENUE 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10043 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Mastercard Inc CENTRAL INDEX KEY: 0001141391 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 134172551 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2000 PURCHASE STREET CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 9142492000 MAIL ADDRESS: STREET 1: 2000 PURCHASE STREET CITY: PURCHASE STATE: NY ZIP: 10577 FORMER COMPANY: FORMER CONFORMED NAME: MASTERCARD INC DATE OF NAME CHANGE: 20010525 4 1 wf-form4_158992137199722.xml FORM 4 X0306 4 2020-05-18 0 0001141391 Mastercard Inc MA 0001338914 BANGA AJAY 2000 PURCHASE STREET PURCHASE NY 10577-2509 1 1 0 0 Chief Executive Officer Class A Common Stock 2020-05-18 4 M 0 81533 51.83 A 404837 D Class A Common Stock 2020-05-18 4 S 0 14270 285.5031 D 390567 D Class A Common Stock 2020-05-18 4 S 0 25858 286.4626 D 364709 D Class A Common Stock 2020-05-18 4 S 0 13362 287.389 D 351347 D Class A Common Stock 2020-05-18 4 S 0 8320 288.735 D 343027 D Class A Common Stock 2020-05-18 4 S 0 19723 289.6003 D 323304 D Class A Common Stock 40371 I By GRAT Class A Common Stock 35329 I By Trust Employee Stock Option (right to buy) 51.83 2020-05-18 4 M 0 81533 0 D 2023-03-01 Class A Common Stock 81533.0 163067 D 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 March 12, 2020. As part of routine personal financial management, (1) on May 7, 2020, a Grantor Retained Annuity Trust (GRAT), of which the reporting person is a trustee, transferred 14,639 shares of Class A Common Stock to the reporting person, and (2) on May 8, 2020, the reporting person transferred 25,000 shares of Class A Common Stock to a GRAT of which the reporting person is a trustee. Prior to these transactions, the reporting person directly held 333,665 shares of Class A Common Stock and indirectly held 30,010 shares of Class A Common Stock by GRAT. These transactions are exempt from reporting. This transaction was executed in multiple trades at prices ranging from $285.01 to $286.00. 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. This transaction was executed in multiple trades at prices ranging from $286.055 to $287.035. 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. This transaction was executed in multiple trades at prices ranging from $287.06 to $288.00. 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. This transaction was executed in multiple trades at prices ranging from $288.17 to $289.13. 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. This transaction was executed in multiple trades at prices ranging from $289.19 to $289.82. 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. The reporting person was awarded 344,600 employee stock options on March 1, 2013, of which 163,067 remain and are fully vested. /s/ Craig R. Brown, Assistant Corporate Secretary, attorney-in-fact for Ajaypal S. Banga pursuant to a power of attorney dated September 16, 2014 2020-05-19