0001209191-15-070939.txt : 20150916 0001209191-15-070939.hdr.sgml : 20150916 20150916143157 ACCESSION NUMBER: 0001209191-15-070939 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150914 FILED AS OF DATE: 20150916 DATE AS OF CHANGE: 20150916 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: 151110161 MAIL ADDRESS: STREET 1: 680 EAST SWEDESFORD ROAD CITY: WAYNE STATE: PA ZIP: 19087 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-14 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 2015-09-14 4 M 0 7251.2551 A 90162.1712 D Class A Common Stock 2015-09-14 4 F 0 3591.5463 0.00 D 86570.6249 D Class A Common Stock 2015-09-14 4 M 0 7251.255 A 93821.88 D Class A Common Stock 2015-09-14 4 F 0 3591.5468 0.00 D 90230.3332 D Time-Based Restricted Stock Unit 2015-09-14 4 M 0 5577.8885 0.00 D 2015-09-14 2015-09-14 Units 5577.8885 0 D Performance-Based Restricted Stock Unit 2015-09-14 4 M 0 5577.8885 0.00 D 2015-09-14 2015-09-14 Units 5577.8885 0 D Class L Common Stock 2015-09-14 4 M 0 1611.39 0.00 A Class A Common Stock 1611.39 10823.714 D Class L Common Stock 2015-09-14 4 F 0 798.1215 0.00 D Class A Common Stock 798.1215 10025.5926 D Time-Based Restricted Stock Unit ("RSU") award granted September 14, 2011 represented a right to receive Units (as defined in note 3 below) upon satisfaction of time-based vesting and payout conditions. Performance-Based RSU award granted September 14, 2011 represented a right to receive Units (as defined in note 3 below) upon satisfaction of performance-based vesting and time-based payout conditions. 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. 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 2015-09-16