SEC Form 4 · accession 0000356028-15-000199
CA, INC. · CA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam Elster
Officer — EVP & GRP EXEC, WW SALES & SER
Period of report
Dec 3, 2015
Accepted (ET)
Dec 7, 2015 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000356028
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.10 par valueF1 | Dec 3, 2015 | S | 10,107 | $28.50 | D | 76,152 | D | |
| Common Stock, $.10 par valueF1 | Dec 3, 2015 | M | 1,738 | $19.93 | A | 77,890 | D | |
| Common Stock, $.10 par valueF1 | Dec 3, 2015 | S | 1,738 | $28.50 | D | 76,152 | D | |
| Common Stock, $.10 par valueF2 | holding | — | — | — | 3,656 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1,F3 | $19.93 | Dec 3, 2015 | M | 1,738 | A | — | Aug 17, 2018 | Common Stock, $.10 par value | 1,738 | 0 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2Shares held in the CA Savings Harvest Plan, a 401(k) Plan. Information presented as of December 3, 2015.
- F3The option became exercisable over three years as follows: 34% on August 17, 2012, 33% on August 17, 2013 and 33% on August 17, 2014.