0001209191-15-065782.txt : 20150813 0001209191-15-065782.hdr.sgml : 20150813 20150813133546 ACCESSION NUMBER: 0001209191-15-065782 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150811 FILED AS OF DATE: 20150813 DATE AS OF CHANGE: 20150813 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: 151049923 MAIL ADDRESS: STREET 1: 680 EAST SWEDESFORD ROAD CITY: WAYNE STATE: PA ZIP: 19087 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-08-11 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 2015-08-11 4 M 0 53794.1616 A 114107.779 D Class A Common Stock 2015-08-11 4 F 0 41528.4308 0.00 D 72579.3481 D Class A Common Stock 2015-08-11 4 M 0 45311.45 A 117890.7981 D Class A Common Stock 2015-08-11 4 F 0 34979.882 0.00 D 82910.9161 D Time-Based Unit Option (right to buy) 12.87 2015-08-11 4 M 0 41380.1243 0.00 D 2010-08-11 2015-08-11 Unit 41380.1243 0 D Performance-Based Unit Option (right to buy) 12.87 2015-08-11 4 M 0 34854.9615 0.00 D 2013-12-31 2015-08-11 Unit 34854.9615 0 D Class L Common Stock 2015-08-11 4 M 0 5977.1291 0.00 A Class-A 8 Common Stock 5977.1291 12678.6421 D Class L Common Stock 2015-08-11 4 F 0 4614.2701 0.00 D Class-A 8 Common Stock 4614.2701 8064.372 D Class L Common Stock 2015-08-11 4 M 0 5034.6056 0.00 A Class-A 8 Common Stock 5034.6056 13098.9776 D Class L Common Stock 2015-08-11 4 F 0 3886.654 0.00 D Class-A 8 Common Stock 3886.654 9212.324 D Shares received upon an exercise of an aggregate of 41,380.1243 options for Units at an exercise price of $12.87 per Unit. Each "Unit" consists of 1.3 shares of Class A-8 common stock and 0.1444 shares of Class L common stock of SunGard and 0.038 shares of preferred stock of SunGard Capital Corp. II. Shares received upon an exercise of an aggregate of 34,854.9615 options for Units at an exercise price of $12.87 per Unit. 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 2015-08-13