SEC Form 4 · accession 0001209191-15-009395
SUNGARD CAPITAL CORP II
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Traquair
Officer — EVP, Financial Systems
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 4:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001337274
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Preferred StockF1,F2 | Feb 2, 2015 | M | 932 | — | A | 2,040 | D | |
| Preferred Stock | Feb 2, 2015 | F | 573 | $190.09 | D | 1,466 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Rollover Unit Option (right to buy)F2 | $4.03 | Feb 2, 2015 | M | 24,469 | D | Aug 11, 2005 | Mar 3, 2015 | Unit | 24,469 | 0 | D |
Explanation of responses
- F1Shares received upon exercise of an aggregate of 24,469.3291 options for Units at an exercise price of $4.03 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 Capital Corp. and 0.038 shares of preferred stock of SunGard Capital Corp. II.