SEC Form 4 · accession 0000356028-18-000082
CA, INC. · CA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ayman Sayed
Officer — Pres., Chief Products Officer
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 8:44 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, 2018 | A | 14,172 | $0.00 | A | 114,404 | D | |
| Common Stock, $.10 par valueF2 | May 15, 2018 | A | 31,406 | $0.00 | A | 145,810 | D | |
| Common Stock, $0.10 par value | May 15, 2018 | F | 20,171 | $35.28 | D | 125,639 | D | |
| Common Stock, $.10 par valueF3 | May 15, 2018 | M | 29,305 | $31.53 | A | 154,944 | D | |
| Common Stock, $.10 par valueF3 | May 15, 2018 | M | 33,848 | $31.69 | A | 188,792 | D | |
| Common Stock, $.10 par valueF3,F4 | May 15, 2018 | S | 63,153 | $34.825 | D | 125,639 | D | |
| Common Stock, $.10 par valueF3,F5 | May 16, 2018 | S | 20,550 | $35.011 | D | 105,089 | D | |
| Common Stock, $0.10 par valueF6 | holding | — | — | — | 112 | 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)F7 | $35.28 | May 15, 2018 | A | 87,868 | A | — | May 15, 2028 | Common Stock, $.10 par value | 87,868 | 87,868 | D |
| Employee Stock Option (right to buy)F3,F8 | $31.53 | May 15, 2018 | M | 29,305 | D | — | May 15, 2026 | Common Stock, $.10 par value | 29,305 | 29,305 | D |
| Employee Stock Option (right to buy)F3,F9 | $31.69 | May 15, 2018 | M | 33,848 | D | — | May 15, 2027 | Common Stock, $.10 par value | 33,848 | 65,703 | D |
Explanation of responses
- F1Represents restricted stock which, subject to earlier forfeiture, vests over three years as follows: 34% on May 15, 2019, 33% on May 15, 2020 and 33% on May 15, 2021.
- F2Represents shares granted in connection with the achievement of performance targets over a three-year performance period ended March 31, 2018.
- F3The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F4Indicates the weighted average sale price of multiple sales effected on the transaction date. Sale prices ranged from $34.720 to $35.030, 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.
- F5Indicates the weighted average sale price of multiple sales effected on the transaction date. Sale prices ranged from $34.770 to $35.170, 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.
- F6Shares held in the CA Savings Harvest Plan, a 401(k) Plan.
- F7The option becomes exercisable over three years as follows: 34% on May 15, 2019, 33% on May 15, 2020 and 33% on May 15, 2021.
- F8The option becomes exercisable over three years as follows: 34% on May 15, 2017, 33% on May 15, 2018 and 33% on May 15, 2019.
- F9The option becomes exercisable over three years as follows: 34% on May 15, 2018, 33% on May 15, 2019 and 33% on May 15, 2020.
Remarks
Exhibit List Exhibit 24 - Power of Attorney