SEC Form 4 · accession 0001209191-15-065784
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
Aug 11, 2015
Accepted (ET)
Aug 13, 2015 · 1:36 pm EDT
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 | Aug 11, 2015 | M | 1,575 | — | A | 3,342 | D | |
| Preferred Stock | Aug 11, 2015 | F | 1,216 | $218.77 | D | 2,126 | D | |
| Preferred StockF1,F3 | Aug 11, 2015 | M | 1,327 | — | A | 3,453 | D | |
| Preferred Stock | Aug 11, 2015 | F | 1,024 | $218.77 | D | 2,428 | D |
Table II — derivative securities
| 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)F1 | $12.87 | Aug 11, 2015 | M | 41,380 | D | Aug 11, 2010 | Aug 11, 2015 | Unit | 41,380 | 0 | D |
| Performance-Based Unit Option (right to buy)F1 | $12.87 | Aug 11, 2015 | M | 34,855 | D | Dec 31, 2013 | Aug 11, 2015 | Unit | 34,855 | 0 | D |
Explanation of responses
- F1Each "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.
- F2Shares received upon exercise of an aggregate of 41,380.1243 options for Units at an exercise price of $12.87 per Unit.
- F3Shares received upon exercise of an aggregate of 34,854.9615 options for Units at an exercise price of $12.87 per Unit.