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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 131.31 | 12/31/2017(2) | J | 2,018 (2) | (2) | 12/31/2017(2) | FactSet Common Stock | 2,018 | (3) | 74,174 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 175.2 | 12/31/2017(2) | J | 10,199 (2) | (2) | 12/31/2017(2) | FactSet Common Stock | 10,199 | (3) | 63,975 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 175.2 | 12/31/2017(2) | J | 3,400 (2) | (2) | 12/31/2017(2) | FactSet Common Stock | 3,400 | (3) | 60,575 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 152.28 | 12/31/2017(2) | J | 5,323 (2) | (2) | 12/31/2017(2) | FactSet Common Stock | 5,323 | (3) | 55,252 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 189.98 | 12/31/2017(2) | J | 7,251 (2) | (2) | 12/31/2017(2) | FactSet Common Stock | 7,251 | (3) | 48,001 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hale Mark J. 601 MERRITT 7 NORWALK, CT 06851 |
Chief Operating Officer |
/s/ Mark J. Hale | 01/03/2018 | |
**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) | Represents the number of shares withheld to cover the cost of taxes upon vesting of restricted stock previously granted on November 1, 2013. |
(2) | On November 14, 2017, FactSet Research Systems Inc. ("FactSet" or the "Company") announced that Mark J. Hale will separate from his position as Executive Vice President, Chief Operating Officer, effective on December 31, 2017. This represents options held by Mr. Hale at the time of termination, which expired upon his departure on December 31, 2017 and subsequently resulted in a pre-vesting forfeiture. |
(3) | Column 8 has been intentionally left blank because the transaction was a forfeiture of a derivative security. |