SUNGARD Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-11-30: Reporting owner HUTCHINS GLENN H; Form 4; Security Class A-1 common stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-11-30: Reporting owner HUTCHINS GLENN H; Form 4; Security Class L common stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-11-30: Reporting owner Cassidy Patricia K.; Form 4; Security Class L Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-11-30: Reporting owner Neral Charles J; Form 4; Security Class L Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-11-30 | HUTCHINS GLENN H Director | 4 | Class A-1 common stock Derivative · Indirect · By Silver Lake Funds | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,488,546 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | HUTCHINS GLENN H Director | 4 | Class L common stock Derivative · Indirect · By Silver Lake Funds | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,832,061 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Cassidy Patricia K. Officer (SVP - Human Resources & CHRO) | 4 | Class L Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,675 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Neral Charles J Officer (SVP - Finance & CFO) | 4 | Class L Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,477 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Noell Robert Davis Director | 4 | Class A-6 common stock Derivative · Indirect · By Providence Equity Funds | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,295,238 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Noell Robert Davis Director | 4 | Class L Common Stock Derivative · Indirect · By Providence Equity Funds | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,366,138 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,814 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Coppola Vincent R Officer (SVP, Global Business Serv&Tech) | 4 | Class L Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,829 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | MEHRA SANJEEV K Director | 4 | Class A-4 common stock Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −28,393,651 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | MEHRA SANJEEV K Director | 4 | Class L common stock Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,154,850 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,026 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Park John Ihn Director | 4 | Class A-5 common stock Derivative · Indirect · See Notes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,937,852 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Park John Ihn Director | 4 | Class A-5 common stock Derivative · Indirect · See Notes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −911,806 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Park John Ihn Director | 4 | Class L Common Stock Derivative · Indirect · See Notes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,770,872 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | Park John Ihn Director | 4 | Class L Common Stock Derivative · Indirect · See Notes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −101,312 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | FRADIN RUSSELL P Director, Officer (President & CEO) | 4 | Class L Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −59,941 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | LORING IAN K Director | 4 | Class A-2 Common Stock Derivative · Indirect · See Footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,849,657 0 owned after | no price filed | 2015-12-02 | |
| 2015-11-30 | LORING IAN K Director | 4 | Class L Common Stock Derivative · Indirect · See Footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,872,184 0 owned after | no price filed | 2015-12-02 | |
| 2015-09-14 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,611 10,824 owned after | $0.00 | 2015-09-16 | |
| 2015-09-14 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −798 10,026 owned after | $0.00 | 2015-09-16 | |
| 2015-09-14 | Coppola Vincent R Officer (SVP, Global Business Serv&Tech) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,675 4,675 owned after | $0.00 | 2015-09-16 | |
| 2015-09-14 | Coppola Vincent R Officer (SVP, Global Business Serv&Tech) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,846 2,829 owned after | $0.00 | 2015-09-16 | |
| 2015-08-11 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,977 12,679 owned after | $12.87 exercise price | 2015-08-13 | |
| 2015-08-11 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,614 8,064 owned after | $0.00 | 2015-08-13 | |
| 2015-08-11 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,035 13,099 owned after | $12.87 exercise price | 2015-08-13 | |
| 2015-08-11 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −3,887 9,212 owned after | $0.00 | 2015-08-13 | |
| 2015-08-11 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +16,051 27,165 owned after | $12.87 exercise price | 2015-08-13 | |
| 2015-08-11 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −12,142 15,023 owned after | $0.00 | 2015-08-13 | |
| 2015-08-11 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,458 26,481 owned after | $12.87 exercise price | 2015-08-13 | |
| 2015-08-11 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −8,667 17,814 owned after | $0.00 | 2015-08-13 | |
| 2015-08-11 | Cassidy Patricia K. Officer (SVP-Human Resources & CHRO) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +812 2,236 owned after | $12.87 exercise price | 2015-08-13 | |
| 2015-08-11 | Cassidy Patricia K. Officer (SVP-Human Resources & CHRO) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −560 1,675 owned after | $0.00 | 2015-08-13 | |
| 2015-06-03 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,592 12,769 owned after | $0.00 | 2015-06-03 | |
| 2015-06-03 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,655 11,114 owned after | $0.00 | 2015-06-03 | |
| 2015-06-01 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,256 7,819 owned after | $0.00 | 2015-06-03 | |
| 2015-06-01 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,117 6,702 owned after | $0.00 | 2015-06-03 | |
| 2015-06-01 | Cassidy Patricia K. Officer (SVP-Human Resources & CHRO) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +435 1,561 owned after | $0.00 | 2015-06-03 | |
| 2015-06-01 | Cassidy Patricia K. Officer (SVP-Human Resources & CHRO) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −136 1,424 owned after | $0.00 | 2015-06-03 | |
| 2015-02-27 holding as of filing | Cassidy Patricia K. Officer (SVP-Human Resources & CHRO) | 3 | Class L Common Stock Derivative · Direct | Holding | no price filed | 2015-02-27 | ||
| 2015-02-26 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,897 13,083 owned after | $4.03 exercise price | 2015-03-02 | |
| 2015-02-26 | Silbey Victoria E Officer (SVP & Chief Legal Officer) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −3,905 9,177 owned after | $0.00 | 2015-03-02 | |
| 2015-02-02 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,534 7,738 owned after | $4.03 exercise price | 2015-02-04 | |
| 2015-02-02 | Traquair Brian A Officer (EVP, Financial Systems) | 4 | Class L Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −2,175 5,563 owned after | $0.00 | 2015-02-04 |