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