SEC Form 4 · accession 0000356028-18-000038
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
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 7:27 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 | Mar 9, 2018 | M | 25,744 | $30.45 | A | 71,223 | D | |
| Common Stock, $.10 par valueF1 | Mar 9, 2018 | M | 22,379 | $26.98 | A | 93,602 | D | |
| Common Stock, $.10 par valueF1 | Mar 9, 2018 | M | 29,487 | $28.69 | A | 123,089 | D | |
| Common Stock, $.10 par valueF1,F2 | Mar 9, 2018 | S | 77,610 | $36.774 | D | 45,479 | D | |
| Common Stock, $.10 par valueF3 | holding | — | — | — | 893 | 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,F4 | $30.45 | Mar 9, 2018 | M | 25,744 | D | — | May 29, 2025 | Common Stock, $.10 par value | 25,744 | 12,679 | D |
| Employee Stock Option (right to buy)F1,F5 | $26.98 | Mar 9, 2018 | M | 22,379 | D | — | May 13, 2023 | Common Stock, $.10 par value | 22,379 | 0 | D |
| Employee Stock Option (right to buy)F1,F6 | $28.69 | Mar 9, 2018 | M | 29,487 | D | — | Jun 2, 2024 | Common Stock, $.10 par value | 29,487 | 0 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F2Indicates the weighted average sale price of multiple sales effected on the transaction date. Sale prices ranged from $36.31 to $37.12, inclusive. The Reporting Person 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.
- F3Shares held in the CA Savings Harvest Plan, a 401(k) Plan.
- F4This option becomes exercisable over a three-year period as follows: 34% on May 29, 2016, 33% on May 29, 2017 and 33% on May 29, 2018.
- F5This option became exercisable over a three-year period as follows: 34% on May 13, 2014, 33% on May 13, 2015 and 33% on May 13, 2016.
- F6This option became exercisable over a three-year period as follows: 34% on June 2, 2015, 33% on June 2, 2016 and 33% on June 2, 2017.
Remarks
Exhibit List Exhibit 24 - Power of Attorney