SEC Form 4 · accession 0001209191-15-065780

SunGard

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP & Chief Legal Officer

Period of report

Aug 11, 2015

Accepted (ET)

Aug 13, 2015 · 1:34 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001337272

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Class A Common Stock^F1,F2	Aug 11, 2015	M	144,463	—	A	244,487	D
Class A Common Stock	Aug 11, 2015	F	109,278	$0.00	D	135,208	D
Class A Common Stock^F2,F3	Aug 11, 2015	M	103,119	—	A	238,327	D
Class A Common Stock	Aug 11, 2015	F	78,004	$0.00	D	160,323	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Time-Based Unit Option (right to buy)^F2	$12.87	Aug 11, 2015	M	111,125	D	Aug 11, 2010	Aug 11, 2015	Unit	111,125	0	D
Performance-Based Unit Option (right to buy)^F2	$12.87	Aug 11, 2015	M	79,322	D	Dec 31, 2013	Aug 11, 2015	Unit	79,322	0	D
Class L Common Stock^F4	—	Aug 11, 2015	M	16,051	A	—	—	Class A-8 Common Stock	16,051	27,165	D
Class L Common Stock^F4	—	Aug 11, 2015	F	12,142	D	—	—	Class A-8 Common Stock	12,142	15,023	D
Class L Common Stock^F4	—	Aug 11, 2015	M	11,458	A	—	—	Class A-8 Common Stock	11,458	26,481	D
Class L Common Stock^F4	—	Aug 11, 2015	F	8,667	D	—	—	Class A-8 Common Stock	8,667	17,814	D

F1Shares received upon an exercise of an aggregate of 111,125.0116 options for Units at an exercise price of $12.87 per Unit.
F2Each "Unit" consists of 1.3 shares of Class A-8 common stock and 0.1444 shares of Class L common stock of SunGard and 0.038 shares of preferred stock of SunGard Capital Corp. II.
F3Shares received upon an exercise of an aggregate of 79,322.2911 options for Units at an exercise price of $12.87 per Unit.
F4Each share of Class L common stock automatically converts into one share of Class A-8 common stock, plus an additional number of shares based on the public offering price established in connection with an initial public offering of the Issuer's securities (i) immediately prior to an initial public offering of the Issuer, (ii) in connection with a realization event of the Issuer, upon the approval of the Requisite Principal Investors, or (iii) in connection with the registration, under the Securities Act of 1933, of the Class A-8 common stock, unless the Majority Principal Investors determine otherwise.