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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 | ||||||||
Stock Option (Right to Buy) | $ 22.55 | 11/05/2009 | A | 15,800 | (3) | 11/05/2016 | Common Stock | 15,800 | $ 0 | 15,800 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Neary James 601 RIVERSIDE AVENUE JACKSONVILLE, FL 32204 |
X |
/s/ Stacey A. Lombardi, as Attorney-in-Fact | 11/09/2009 | |
**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 of restricted stock granted pursuant to the Metavante Technologies, Inc. 2007 Equity Incentive Plan. Subject to the additional requirements of the next sentence, one-third of the aggregate number of shares of restricted stock granted vest on each of the first three anniversaries of the date of grant. In addition, the vesting of the restricted stock is subject to the Company achieving $280 million in synergy cost savings on or before December 15, 2011. |
(2) | See Exhibit 99 -- Explanation of Responses. |
(3) | This option was granted pursuant to the Metavante Technologies, Inc, 2007 Equity Incentive Plan and vests in three equal annual installments beginning on November 5, 2010. |