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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/01/2007 |
3. Issuer Name and Ticker or Trading Symbol
Metavante Technologies, Inc. [ MV ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 11/05/2007 |
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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 | ||||
Employee Stock Option (right to buy) | 05/28/2007 | 05/28/2014 | Common Stock | 35,277(1) | 23.33(1) | D | |
Employee Stock Option (right to buy) | (2) | 10/28/2015 | Common Stock | 17,638(1) | 24.28(1) | D | |
Employee Stock Option (right to buy) | (3) | 10/30/2016 | Common Stock | 19,843(1) | 27.26(1) | D |
Explanation of Responses: |
1. In connection with the merger of one of the issuer's subsidiaries into Marshall & Ilsley Corporation ("Old Marshall & Ilsley") to effect the formation of a holding company (the "Holding Company Merger"), the separation of Old Marshall & Ilsley from Metavante Corporation and related transactions, the Reporting Person's outstanding Old Marshall & Ilsley stock option was converted into an option to acquire Metavante Technologies, Inc. ("Metavante") common stock. The number of stock options held by the Reporting Person, and their exercise price, were adjusted pursuant to the Employee Matters Agreement, dated April 3, 2007, as amended, that was executed in connection with the separation transaction. The adjustment was implemented in a manner that preserved the intrinsic value of each option on the closing date. |
2. The option vests in three equal annual installments beginning October 28, 2006. |
3. The option vests in three equal annual installments beginning October 30, 2007. |
Remarks: |
The purpose of this amendment is to update the number of stock options held by the Reporting Person, and their exercise price, based on the actual adjustment ratios. The amounts set forth in the previous Form 3 were estimates, since pursuant to the Employee Matters Agreement the number of stock options, and their exercise price, were not determinable until the close of trading on the New York Stock Exchange on November 15, 2007. |
/s/ Stacey Bruckner, as Attorney-in-Fact | 11/19/2007 | |
** 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. |