SEC Form 4 · accession 0000356028-16-000285
CA, INC. · CA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacob Lamm
Officer — EVP, STRATEGY & CORPORATE DEV
Period of report
May 27, 2016
Accepted (ET)
Jun 1, 2016 · 6:05 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 value | May 27, 2016 | F | 1,122 | $32.07 | D | 57,530 | D | |
| Common Stock, $.10 par valueF1 | May 27, 2016 | M | 8,181 | $21.78 | A | 65,711 | D | |
| Common Stock, $.10 par valueF1 | May 27, 2016 | M | 24,003 | $25.24 | A | 89,714 | D | |
| Common Stock, $.10 par valueF1 | May 27, 2016 | M | 40,000 | $26.98 | A | 129,714 | D | |
| Common Stock, $.10 par valueF1 | May 27, 2016 | M | 15,008 | $24.41 | A | 144,722 | D | |
| Common Stock, $.10 par valueF1,F2,F3 | May 27, 2016 | S | 98,401 | $32.04 | D | 46,321 | D | |
| Common Stock, $.10 par valueF4 | holding | — | — | — | 529 | 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,F5 | $21.78 | May 27, 2016 | M | 8,181 | D | — | Jun 14, 2018 | Common Stock, $.10 par value | 8,181 | 0 | D |
| Employee Stock Option (right to buy)F1,F6 | $25.24 | May 27, 2016 | M | 24,003 | D | — | May 22, 2019 | Common Stock, $.10 par value | 24,003 | 0 | D |
| Employee Stock Option (right to buy)F1,F7 | $26.98 | May 27, 2016 | M | 40,000 | D | — | May 13, 2023 | Common Stock, $.10 par value | 40,000 | 22,379 | D |
| Employee Stock Option (right to buy)F1,F8 | $24.41 | May 27, 2016 | M | 15,008 | D | — | May 22, 2019 | Common Stock, $0.10 par value | 15,008 | 0 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2Indicates the weighted average sale price of multiple sales effected on the transaction date. Sale prices ranged from $31.945 to $32.190 inclusive.
- F3The undersigned will provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4Shares held in the CA Savings Harvest Plan, a 401(k) Plan. Information presented as of May 27, 2016.
- F5The option became exercisable over three years as follows: 34% on June 14, 2012, 33% on June 14, 2013 and 33% on June 14, 2014.
- F6The option became exercisable over three years as follows: 34% on May 22, 2013, 33% on May 22, 2014 and 33% on May 22, 2015.
- F7This option became exercisable over three years as follows: 34% on May 13, 2014, 33% on May 13, 2015 and 33% on May 13, 2016.
- F8The option became exercisable over three years as follows: 34% on May 22, 2013, 33% on May 22, 2014 and 33% on May 22, 2015.