Amended Statement of Changes in Beneficial Ownership (4/a)
22 Maggio 2013 - 10:59PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Lamm Jacob
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2. Issuer Name
and
Ticker or Trading Symbol
CA, INC.
[
CA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP, STRATEGY & CORPORATE DEV
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(Last)
(First)
(Middle)
ONE CA PLAZA
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2013
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(Street)
ISLANDIA, NY 11749
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
5/15/2013
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $.10 par value
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5/14/2013
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M
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28286
(1)
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A
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$21.77
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81766
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D
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Common Stock, $.10 par value
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5/14/2013
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M
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10000
(1)
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A
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$24.28
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91766
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D
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Common Stock, $.10 par value
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5/14/2013
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M
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16040
(1)
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A
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$19.46
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107806
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D
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Common Stock, $.10 par value
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5/14/2013
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M
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8430
(1)
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A
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$21.78
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116236
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D
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Common Stock, $.10 par value
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5/14/2013
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S
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77225
(1)
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D
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$27.15
(2)
(3)
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39011
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D
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Common Stock, $.10 par value
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163.519
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I
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401(k) Plan
(4)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$26.98
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5/13/2013
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A
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62379
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(5)
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5/13/2023
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Common Stock, $.10 par value
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62379
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$0
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62379
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D
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Employee Stock Option (right to buy)
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$21.77
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5/14/2013
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M
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28286
(1)
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(6)
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8/2/2016
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Common Stock, $.10 par value
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28286
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$0
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0
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D
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Employee Stock Option (right to buy)
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$24.28
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5/14/2013
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M
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10000
(1)
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(7)
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9/14/2016
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Common Stock, $.10 par value
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10000
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$0
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0
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D
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Employee Stock Option (right to buy)
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$19.46
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5/14/2013
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M
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16040
(1)
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(8)
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6/25/2017
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Common Stock, $.10 par value
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16040
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$0
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15566
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D
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Employee Stock Option (right to buy)
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$21.78
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5/14/2013
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M
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8430
(1)
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(9)
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6/14/2018
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Common Stock, $.10 par value
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8430
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$0
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16362
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D
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Explanation of Responses:
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(
1)
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The transactions reported on this line were effected pursuant to a Rule 10b5-1 trading plan.
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(
2)
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Indicates the weighted average sale price of sales effected on the transaction date. Sale prices ranged from $26.970 to $27.275.
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(
3)
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The undersigned will provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
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(
4)
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Shares held in the CA Savings Harvest Plan, a 401(k) Plan. Information presented as of May 7, 2013.
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(
5)
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This option becomes exercisable over three years as follows: 34% on May 13, 2014, 33% on May 13, 2015 and 33% on May 13, 2016.
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(
6)
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This option became exercisable over a three-year period as follows: 34% on August 2, 2007, 33% on August 2, 2008 and 33% on August 2, 2009.
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(
7)
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This option became exercisable over a three-year period as follows: 34% on September 14, 2007, 33% on September 14, 2008 and 33% on September 14, 2009.
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(
8)
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This option becomes exercisable over a three-year period as follows: 34% on June 25, 2011, 33% on June 25, 2012 and 33% on June 25, 2013.
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(
9)
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This option becomes exercisable over a three-year period as follows: 34% on June 14, 2012, 33% on June 14, 2013 and 33% on June 14, 2014.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Lamm Jacob
ONE CA PLAZA
ISLANDIA, NY 11749
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EVP, STRATEGY & CORPORATE DEV
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Signatures
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/s/ Jacob Lamm by Brandt Schmidt as attorney-in-fact
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5/22/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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