SUNGARD Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-10-13: Reporting owner Silbey Victoria E; Form 4; Security Rollover Unit Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-03-31: Reporting owner Silbey Victoria E; Form 4; Security Rollover Unit Option (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2014-03-31: Reporting owner Silbey Victoria E; Form 4; Security Rollover Unit Option (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2014-03-31: Reporting owner Silbey Victoria E; Form 4; Security Performance-Based Unit Option (right to buy); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-10-13 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Rollover Unit Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −34,886 0 owned after | $4.03 exercise price | 2014-10-15 | |
| 2014-03-31 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Rollover Unit Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,614 34,886 owned after | $4.03 exercise price | 2014-09-16 | |
| 2014-03-31 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Rollover Unit Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,947 47,750 owned after | $4.03 exercise price | 2014-09-16 | |
| 2014-03-31 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Performance-Based Unit Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +24,576 79,322 owned after | $12.87 exercise price | 2014-09-16 | |
| 2014-03-31 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Time-Based Unit Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +11,513 111,125 owned after | $12.87 exercise price | 2014-09-16 | |
| 2014-03-31 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Rollover Unit Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +2,535 24,469 owned after | $4.03 exercise price | 2014-09-05 | |
| 2014-03-31 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Performance-Based Unit Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,611 34,855 owned after | $12.87 exercise price | 2014-09-05 | |
| 2014-03-31 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Time-Based Unit Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,287 41,380 owned after | $12.87 exercise price | 2014-09-05 | |
| 2014-01-06 | Traquair Brian A Officer (President, Capital Markets) | 4 | Rollover Unit Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,465 0 owned after | $4.50 exercise price | 2014-01-08 |