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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 | ||||||||
Restricted Stock Units | (1) | 02/15/2017 | M | 994 | (2) | (3) | Common Stock | 994 | $ 0 | 994 | D | ||||
Non-Qualified Stock Options (right to buy) | $ 128.8 | 02/15/2017 | A | 2,203 | 02/15/2017(4) | 02/14/2024 | Common Stock | 2,203 | $ 0 | 2,203 | D | ||||
Non-Qualified Stock Options (right to buy) | $ 128.8 | 02/15/2017 | A | 6,756 | (5) | 02/14/2024 | Common Stock | 6,756 | $ 0 | 6,756 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rees Joanna 181 METRO DRIVE SAN JOSE, CA 95110 |
/s/Nancy E. Fraser, Attorney-in-fact | 02/16/2017 | |
**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) | Each restricted stock unit represents a right to receive one share of Fair Isaac common stock contingent upon continued service on the board. |
(2) | This award vests in three equal installments on the dates of each of the Corporation's 2016, 2017 and 2018 Annual Meeting of Stockholders. |
(3) | No expiration date. |
(4) | The reporting person has elected to take her annual cash retainer in the form of stock options pursuant to the Corporation's Compensation Program for Non-Employee Directors. |
(5) | This award will fully vest on the date of the Corporation's 2018 Annual Meeting of Stockholders. |