SEC Form 4 · accession 0000356028-16-000271
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
May 15, 2016
Accepted (ET)
May 17, 2016 · 9:26 pm EDT
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 | May 15, 2016 | A | 16,492 | $0.00 | A | 92,644 | D | |
| Common Stock, $.10 par valueF2 | May 15, 2016 | A | 41,295 | $0.00 | A | 133,939 | D | |
| Common Stock, $.10 par value | May 15, 2016 | F | 21,297 | $31.53 | D | 112,642 | D | |
| Common Stock, $.10 par valueF3 | holding | — | — | — | 3,719 | 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)F4 | $31.53 | May 15, 2016 | A | 115,445 | A | — | May 15, 2026 | Common Stock, $.10 par value | 115,445 | 115,445 | D |
Explanation of responses
- F1Represents restricted stock which, subject to earlier forfeiture, vests over three years as follows: 34% on May 15, 2017, 33% on May 15, 2018 and 33% on May 15, 2019.
- F2Represents shares granted in connection with the achievement of performance targets over a three-year performance period ended March 31, 2016.
- F3Shares held in the CA Savings Harvest Plan, a 401(k) Plan. Information presented as of May 16, 2016.
- F4The option becomes exercisable over three years as follows: 34% on May 15, 2017, 33% on May 15, 2018 and 33% on May 15, 2019.