SEC Form 4 · accession 0000356028-17-000123
CA, INC. · CA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam Elster
Officer — Pres., Global Field Operations
Period of report
Aug 7, 2017
Accepted (ET)
Aug 9, 2017 · 7:22 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 | Aug 7, 2017 | M | 138,621 | $26.98 | A | 251,356 | D | |
| Common Stock, $.10 par valueF1,F2,F3 | Aug 7, 2017 | S | 166,621 | $32.255 | D | 84,735 | D | |
| Common Stock, $.10 par valueF4 | holding | — | — | — | 4,563 | 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 | $26.98 | Aug 7, 2017 | M | 138,621 | D | — | May 13, 2023 | Common Stock, $0.10 par value | 138,621 | 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 $32.250 to $32.265 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 August 7, 2017.
- F5The option becomes exercisable over three years as follows: 34% on May 13, 2014, 33% on May 13, 2015 and 33% on May 13, 2016.