SEC Form 4 · accession 0000356028-18-000137
CA, INC. · CA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul L. Pronsati
Officer — EVP, Global Operations & IT
Period of report
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 4:42 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 15, 2018 | M | 6,052 | $31.06 | A | 61,197 | D | |
| Common Stock, $.10 par valueF1 | Aug 15, 2018 | M | 42,692 | $30.45 | A | 103,889 | D | |
| Common Stock, $.10 par valueF1 | Aug 15, 2018 | M | 29,750 | $31.53 | A | 133,639 | D | |
| Common Stock, $.10 par valueF1 | Aug 15, 2018 | M | 16,995 | $31.69 | A | 150,634 | D | |
| Common Stock, $.10 par valueF1,F2 | Aug 15, 2018 | S | 95,489 | $43.561 | D | 55,145 | D | |
| Common Stock, $.10 par valueF3 | holding | — | — | — | 1,303 | 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 | $31.06 | Aug 15, 2018 | M | 6,052 | D | — | Jan 14, 2025 | Common Stock, $.10 par value | 6,052 | 0 | D |
| Employee Stock Option (right to buy)F1,F5 | $30.45 | Aug 15, 2018 | M | 42,692 | D | — | May 29, 2025 | Common Stock, $.10 par value | 42,692 | 0 | D |
| Employee Stock Option (right to buy)F1,F6 | $31.53 | Aug 15, 2018 | M | 29,750 | D | — | May 15, 2026 | Common Stock, $.10 par value | 29,750 | 14,652 | D |
| Employee Stock Option (right to buy)F1,F7 | $31.69 | Aug 15, 2018 | M | 16,995 | D | — | May 15, 2027 | Common Stock, $.10 par value | 16,995 | 32,989 | 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 on June 1, 2018.
- F2Indicates the weighted average sale price of multiple sales effected on the transaction date. Sale prices ranged from $43.500 to $43.650, 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.
- F4The option became exercisable over three years as follows: 34% on January 14, 2016, 33% on January 14, 2017 and 33% on January 14, 2018.
- F5The option became exercisable over three years as follows: 34% on May 29, 2016, 33% on May 29, 2017 and 33% on May 29, 2018.
- F6The option becomes exercisable over three years as follows: 34% on May 15, 2017, 33% on May 15, 2018 and 33% on May 15, 2019.
- F7The option becomes exercisable over three years as follows: 34% on May 15, 2018, 33% on May 15, 2019 and 33% on May 15, 2020.