SEC Form 4 · accession 0000356028-16-000376
CA, INC. · CA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kieran J McGrath
Officer — EVP and CFO
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 5:10 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 | Nov 15, 2016 | A | 2,713 | $0.00 | A | 34,638 | D | |
| Common Stock, $.10 par valueF2 | holding | — | — | — | 89 | 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)F3 | $31.48 | Nov 15, 2016 | A | 18,992 | A | — | Nov 15, 2026 | Common Stock, $.10 par value | 18,992 | 18,992 | D |
Explanation of responses
- F1Represents restricted stock which, subject to earlier forfeiture, vests over three years as follows: 34% on November 15, 2017, 33% on November 15, 2018 and 33% on November 15, 2019.
- F2Shares held in the CA Savings Harvest Plan, a 401(k) Plan. Information presented as of November 16, 2016.
- F3The option becomes exercisable over three years as follows: 34% on November 15, 2017, 33% on November 15, 2018 and 33% on November 15, 2019.