0000899243-18-028249.txt : 20181105
0000899243-18-028249.hdr.sgml : 20181105
20181105201615
ACCESSION NUMBER: 0000899243-18-028249
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181105
FILED AS OF DATE: 20181105
DATE AS OF CHANGE: 20181105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HAHN AVA
CENTRAL INDEX KEY: 0001267376
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09247
FILM NUMBER: 181161249
MAIL ADDRESS:
STREET 1: 520 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CA, INC.
CENTRAL INDEX KEY: 0000356028
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 132857434
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 520 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 1-800-225-5224
MAIL ADDRESS:
STREET 1: 520 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: COMPUTER ASSOCIATES INTERNATIONAL INC
DATE OF NAME CHANGE: 19920703
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-11-05
1
0000356028
CA, INC.
CA
0001267376
HAHN AVA
520 MADISON AVENUE
NEW YORK
NY
10022
0
1
0
0
EVP GC, Corp Sec & CECO
Common Stock, $.10 par value
2018-11-05
4
D
0
11337
D
0
D
Common Stock, $.10 par value
2018-11-05
4
D
0
30056
D
0
D
Employee Stock Option (right to buy)
35.28
2018-11-05
4
D
0
70294
0.00
D
2028-05-15
Common Stock, $.10 par value
70294
0
D
This restricted stock award ("RSA") provided for vesting over three years as follows: 34% on May 15, 2019, 33% on May 15, 2020 and 33% on May 15, 2021. In connection with that certain Agreement and Plan of Merger between the Issuer, Broadcom Inc. ("Broadcom") and Collie Acquisition Corp., dated as of July 11, 2018 (the "Merger Agreement") and pursuant to a letter agreement between the Issuer, Broadcom and the Reporting Person (the "Letter Agreement"), immediately prior to the effective time of the transactions contemplated by the Merger Agreement (the "Merger"), all unvested Issuer RSAs held by the Reporting Person were converted into the right to receive the Merger Consideration in respect of each share of Issuer common stock covered by such RSA, less applicable tax withholdings.
These securities were restricted stock units ("RSUs"), each of which represented a contingent right to receive one share of the Issuer's Common Stock. The RSUs provided for vesting over three years as follows: 34% on February 15, 2019, 33% on February 15, 2020, and 33% on February 15, 2021. Pursuant to the Letter Agreement, immediately prior to the effective time of the Merger, all unvested Issuer RSUs held by the Reporting Person were converted into the right to receive the Merger Consideration in respect of each share of Issuer common stock covered by such RSU, less applicable tax withholdings.
This option provided for vesting over three years as follows: 34% on May 15, 2019, 33% on May 15, 2020 and 33% on May 15, 2021. Pursuant to the Letter Agreement, immediately prior to the effective time of Merger, all unvested options held by the Reporting Person were converted into the right to receive the Merger Consideration in respect of each share of Issuer common stock covered by such unvested option, less the aggregate exercise price corresponding to such Issuer option and less applicable tax withholdings.
/s/ Ava M. Hahn by Kristen W. Prohl as Attorney-in-Fact
2018-11-05