0001209191-15-049350.txt : 20150603
0001209191-15-049350.hdr.sgml : 20150603
20150603102037
ACCESSION NUMBER: 0001209191-15-049350
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150601
FILED AS OF DATE: 20150603
DATE AS OF CHANGE: 20150603
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SunGard
CENTRAL INDEX KEY: 0001337272
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 203059890
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 680 EAST SWEDESFORD RD
CITY: WAYNE
STATE: PA
ZIP: 19087
BUSINESS PHONE: 484-582-2000
MAIL ADDRESS:
STREET 1: 680 EAST SWEDESFORD RD
CITY: WAYNE
STATE: PA
ZIP: 19087
FORMER COMPANY:
FORMER CONFORMED NAME: SUNGARD CAPITAL CORP
DATE OF NAME CHANGE: 20050829
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Traquair Brian A
CENTRAL INDEX KEY: 0001557750
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-53653
FILM NUMBER: 15909019
MAIL ADDRESS:
STREET 1: 680 EAST SWEDESFORD ROAD
CITY: WAYNE
STATE: PA
ZIP: 19087
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-06-01
0
0001337272
SunGard
NONE
0001557750
Traquair Brian A
SUNGARD DATA SYSTEMS INC.
680 E. SWEDESFORD ROAD
WAYNE
PA
19087
0
1
0
0
EVP, Financial Systems
Class A Common Stock
2015-06-01
4
M
0
10151.7571
A
60218.1091
D
Class A Common Stock
2015-06-01
4
F
0
5028.1244
0.01
D
55189.985
D
Class A Common Stock
2015-06-01
4
M
0
10151.7571
A
65341.7418
D
Class A Common Stock
2015-06-01
4
F
0
5028.1244
0.01
D
60313.617
D
Time-Based Restricted Stock Unit
0.00
2015-06-01
4
A
0
11377
0.00
A
Units
11377
11377
D
Performance-Based Restricted Stock Unit
0.00
2015-06-01
4
A
0
22753
0.00
A
Units
22753
22753
D
Time-Based Restricted Stock Unit
2015-06-01
4
M
0
7809.0439
0.00
D
2015-06-01
2015-06-01
Units
7809.0439
0
D
Performance-Based Restricted Stock Unit
2015-06-01
4
M
0
7809.0439
0.00
D
2015-06-01
2015-06-01
Units
7809.0439
0
D
Class L Common Stock
2015-06-01
4
M
0
2255.946
0.00
A
Class A Common Stock
2255.946
7818.874
D
Class L Common Stock
2015-06-01
4
F
0
1117.361
0.00
D
Class A Common Stock
1117.361
6701.513
D
Time-Based Restricted Stock Unit ("RSU") award granted June 1, 2011 represented a right to receive Units (as defined in note 4 below) upon satisfaction of time-based vesting and payout conditions.
Performance-Based RSU award granted June 1, 2011 represented a right to receive Units (as defined in note 4 below) upon satisfaction of performance-based vesting and time-based payout conditions.
Time-Based RSUs vest over three years with one-third vesting on each of the first three anniversaries of the date of grant. The Reporting Person's vested RSUs are paid in shares upon vesting.
Each "Unit" consists of 1.3 shares of Class A-8 common stock and 0.1444 shares of Class L common stock of SunGard Capital Corp. and 0.038 shares of preferred stock of SunGard Capital Corp. II.
Performance-Based RSUs vest up to 200% of the amount granted if the value of shares on June 1, 2018 meets specified stock price thresholds and if the Reporting Person remains employed through June 1, 2018. The Reporting Person's vested RSUs are paid in shares upon the first to occur of (i) the Reporting Person's termination of employment as a result of death, (ii) the Reporting Person's separation from service without cause upon or following a change of control, or (iii) the date that is three years after the date of grant.
Each share of Class L common stock automatically converts into one share of Class A-8 common stock, plus an additional number of shares based on the public offering price established in connection with an initial public offering of the Issuer's securities (i) immediately prior to an initial public offering of the Issuer, (ii) in connection with a realization event of the Issuer, upon the approval of the Requisite Principal Investors, or (iii) in connection with the registration, under the Securities Act of 1933, of the Class A-8 common stock, unless the Majority Principal Investors determine otherwise.
Leslie S. Brush, attorney-in-fact for Brian A. Traquair
2015-06-03