SUNGARD Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-09-15: Reporting owner MANN JAMES L; Form 4; Security Time-Based Class A Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-08-11: Reporting owner GULDIMANN TILL M; Form 4; Security Rollover Unit Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-06-23: Reporting owner STERN ANDREW A; Form 3; Security Time-Based Class A Stock Option (right to buy); Transaction Holding.
- 2010-05-13: Reporting owner WOODS ROBERT F; Form 4; Security Time-Based Class A Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-09-15 | MANN JAMES L Director | 4 | Time-Based Class A Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,704 4,704 owned after | $0.21 exercise price | 2010-12-13 | |
| 2010-08-11 | GULDIMANN TILL M Officer (Vice Chairman) | 4 | Rollover Unit Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −55,713 0 owned after | $4.50 exercise price | 2010-08-12 | |
| 2010-06-23 holding as of filing | STERN ANDREW A Officer (Group CEO) | 3 | Time-Based Class A Stock Option (right to buy) Derivative · Direct | Holding | $0.25 exercise price | 2010-06-23 | ||
| 2010-05-13 | WOODS ROBERT F Officer (SVP-Finance & CFO) | 4 | Time-Based Class A Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +77,445 77,445 owned after | $0.25 exercise price | 2010-05-17 | |
| 2010-05-13 | WOODS ROBERT F Officer (SVP-Finance & CFO) | 4 | Performance-Based Class A Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +139,400 139,400 owned after | $0.25 exercise price | 2010-05-17 | |
| 2010-05-13 | Santos Gilbert O Officer (Group CEO) | 4 | Time-Based Class A Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,722 38,722 owned after | $0.25 exercise price | 2010-05-17 | |
| 2010-05-13 | Santos Gilbert O Officer (Group CEO) | 4 | Performance-Based Class A Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,700 69,700 owned after | $0.25 exercise price | 2010-05-17 | |
| 2010-04-20 | ROBINS BRIAN Officer (SVP-Chief Marketing Officer) | 4 | Rollover Unit Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,999 0 owned after | $4.50 exercise price | 2010-12-13 | |
| 2010-01-05 holding as of filing | WOODS ROBERT F Officer (SVP-Finance & CFO) | 3 | Time-Based Class A Stock Option (right to buy) Derivative · Direct | Holding | $0.28 exercise price | 2010-01-05 | ||
| 2010-01-05 holding as of filing | WOODS ROBERT F Officer (SVP-Finance & CFO) | 3 | Performance-Based Class A Stock Option (right to buy) Derivative · Direct | Holding | $0.28 exercise price | 2010-01-05 |