SUNGARD Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-11-21: Reporting owner Brand Martin; Form 3; Security Class A-3 Common Stock; Transaction Holding.
- 2012-11-21: Reporting owner Brand Martin; Form 3; Security Class L Common Stock; Transaction Holding.
- 2012-11-16: Reporting owner Gordon Christopher R; Form 3; Security Class A-2 Common Stock; Transaction Holding.
- 2012-11-16: Reporting owner Gordon Christopher R; Form 3; Security Class L Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-11-21 holding as of filing | Brand Martin Director | 3 | Class A-3 Common Stock Derivative · Indirect · By Blackstone Funds | Holding | no price filed | 2012-11-21 | ||
| 2012-11-21 holding as of filing | Brand Martin Director | 3 | Class L Common Stock Derivative · Indirect · By Blackstone Funds | Holding | no price filed | 2012-11-21 | ||
| 2012-11-16 holding as of filing | Gordon Christopher R Director | 3 | Class A-2 Common Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2012-11-16 | ||
| 2012-11-16 holding as of filing | Gordon Christopher R Director | 3 | Class L Common Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2012-11-16 | ||
| 2012-11-09 | MANN JAMES L Director | 4 | Class L Common Stock Derivative · Indirect · By Trust | S Open market or private sale of non-derivative or derivative security | −8,025 0 owned after | $65.03 | 2012-11-13 | |
| 2012-10-11 holding as of filing | Noell Robert Davis Director | 3 | Class A-6 Common Stock Derivative · Indirect · By Providence Equity Funds | Holding | no price filed | 2012-10-11 | ||
| 2012-10-11 holding as of filing | Noell Robert Davis Director | 3 | Class L Common Stock Derivative · Indirect · By Providence Equity Funds | Holding | no price filed | 2012-10-11 | ||
| 2012-09-21 | Traquair Brian A Officer (President, Capital Markets) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,123 2,123 owned after | $0.00 | 2012-09-25 | |
| 2012-09-21 | Traquair Brian A Officer (President, Capital Markets) | 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 | −922 1,202 owned after | $0.00 | 2012-09-25 | |
| 2012-09-21 | Mullane Karen M Officer (Vice President & Controller) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +654 654 owned after | $0.00 | 2012-09-25 | |
| 2012-09-21 | Mullane Karen M Officer (Vice President & Controller) | 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 | −200 454 owned after | $0.00 | 2012-09-25 | |
| 2012-09-14 holding as of filing | Calenda Anthony Officer (SVP, Corp. Develop. & Strategy) | 3 | No securities owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2012-09-14 | |
| 2012-09-14 holding as of filing | Calenda Anthony Officer (SVP, Corp. Develop. & Strategy) | 3 | No securities owned Derivative · Direct | Holding | no price filed | 2012-09-14 | ||
| 2012-07-02 holding as of filing | Neral Charles J Officer (SVP - Finance & CFO) | 3 | No securities owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2012-07-02 | |
| 2012-07-02 holding as of filing | Neral Charles J Officer (SVP - Finance & CFO) | 3 | No securities owned Derivative · Direct | Holding | no price filed | 2012-07-02 | ||
| 2012-06-20 | Asser Weslock Kathleen Officer (SVP-HR & Chief HR Officer) | 4 | Class L Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,178 0 owned after | $77.07 | 2012-06-28 | |
| 2012-03-02 | Gill John M Officer (SVP, Corporate Dev. & Strategy) | 4 | Class L Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +512 10,486 owned after | $0.00 | 2012-03-06 | |
| 2012-02-23 holding as of filing | Gill John M Officer (SVP, Corporate Dev. & Strategy) | 3 | Class L Common Stock Derivative · Direct | Holding | no price filed | 2012-02-23 |