SEC Form 4 · accession 0001209191-15-070937
SUNGARD CAPITAL CORP II
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent R Coppola
Officer — SVP, Global Business Serv&Tech
Period of report
Sep 14, 2015
Accepted (ET)
Sep 16, 2015 · 2:29 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 | Sep 14, 2015 | M | 616 | — | A | 616 | D | |
| Preferred Stock | Sep 14, 2015 | F | 243 | $0.00 | D | 373 | D | |
| Preferred StockF2 | Sep 14, 2015 | M | 616 | — | A | 989 | D | |
| Preferred Stock | Sep 14, 2015 | F | 243 | $0.00 | D | 746 | 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 Restricted Stock UnitF1,F3 | — | Sep 14, 2015 | M | 16,184 | D | Sep 14, 2015 | Sep 14, 2015 | Units | 16,184 | 0 | D |
| Performance-Based Restricted Stock UnitF2 | — | Sep 14, 2015 | M | 16,184 | D | Sep 14, 2015 | Sep 14, 2015 | Units | 16,184 | 0 | D |
Explanation of responses
- F1Time-Based Restricted Stock Unit ("RSU") award granted September 14, 2011 represented the 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.