SEC Form 4 · accession 0000899243-18-028275
CA, INC. · CA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rohit Kapoor
Director
Period of report
Nov 5, 2018
Accepted (ET)
Nov 5, 2018 · 8:31 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 5, 2018 | D | 20,000 | — | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitF1,F2,F4 | $0.00 | Nov 5, 2018 | D | 68,333 | D | — | Nov 5, 2018 | Common Stock, $.10 par value | 69,065 | 0 | D |
| Deferred Stock UnitF4,F2,F3 | $0.00 | Nov 2, 2018 | D | 732 | D | — | Nov 5, 2018 | Common Stock, $.10 par value | 732 | 0 | D |
Explanation of responses
- F1Previously issued under the Issuer's Compensation Plans for Non-Employee Directors.
- F2Disposed of pursuant to the Agreement and Plan of Merger between the Issuer, Broadcom Inc., and Collie Acquisition Corp., dated as of July 11, 2018, in exchange for a cash payment of $44.50 per share without interest thereon.
- F3Deferred Stock Units are convertible into Common Stock on a one-for-one basis.
- F4Issued under the Issuer's Compensation Plans for Non-Employee Directors. This represents the pro-rated amount of Deferred Stock Units for the period between October 1, 2018 to November 5, 2018.