SEC Form 4 · accession 0001209191-15-070936

SunGard

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

Reporting owner

Officer — SVP, Global Business Serv&Tech

Period of report

Sep 14, 2015

Accepted (ET)

Sep 16, 2015 · 2:28 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	Sep 14, 2015	M	21,039	—	A	21,039	D
Class A Common Stock	Sep 14, 2015	F	8,307	$0.00	D	12,732	D
Class A Common Stock^F2	Sep 14, 2015	M	21,039	—	A	33,771	D
Class A Common Stock	Sep 14, 2015	F	8,307	$0.00	D	25,464	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Time-Based Restricted Stock Unit^F1,F3	—	Sep 14, 2015	M	16,184	D	Sep 14, 2015	Sep 14, 2015	Units	16,184	0	D
Performance-Based Restricted Stock Unit^F2	—	Sep 14, 2015	M	16,184	D	Sep 14, 2015	Sep 14, 2015	Units	16,184	0	D
Class L Common Stock^F4	—	Sep 14, 2015	M	4,675	A	—	—	Class A Common Stock	4,675	4,675	D
Class L Common Stock^F4	—	Sep 14, 2015	F	1,846	D	—	—	Class A Common Stock	1,846	2,829	D

F1Time-Based Restricted Stock Unit ("RSU") award granted September 14, 2011 represented a right to receive Units (as defined in note 3 below) upon satisfaction of time-based vesting and payout conditions.
F2Performance-Based RSU award granted September 14, 2011 represented a right to receive Units (as defined in note 3 below) upon satisfaction of performance-based vesting and time-based payout conditions.
F3Each "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.
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.