SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol SunGard [ NONE ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 11/30/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class A-4 common stock | (3) | 11/30/2015 | D | 28,393,651 | 08/11/2005 | (3) | Common | 28,393,651 | (5) | 0 | I | See footnotes(1)(2)(3)(5) | |||
Class L common stock | (4) | 11/30/2015 | D | 3,154,850 | (4) | (4) | Common Stock | 3,154,850 | (6) | 0 | I | See footnotes(1)(2)(4)(6) |
Explanation of Responses: |
1. The Reporting Person is a managing director of Goldman, Sachs & Co. ("Goldman Sachs"). Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. On November 30, 2015, the Reporting Person resigned as a director of SunGard (the "Company"). |
2. On November 30, 2015, Fidelity National Information Services, Inc. ("FIS") acquired the Company and SunGard Capital Corp. II pursuant to the Agreement and Plan of Merger, dated August 12, 2015, by and among FIS, SunGard Capital Corp. II, the Company and the other parties named therein (the "Merger Agreement"). Pursuant to the Merger Agreement, the Company became a wholly-owned subsidiary of FIS (the "Merger"). |
3. Prior to the consummation of the Merger, the Class A-4 common stock was convertible into Class A-8 common stock ("Common Stock") of the Company on a one-for-one basis at any time at the option of the holder and had no expiration date. |
4. Prior to the consummation of the Merger, the Class L common stock was automatically convertible into one share of Common Stock, plus an additional number of shares based on the public offering price established in connection with an initial public offering of the Company's securities (i) immediately prior to an initial public offering of the Company, (ii) in connection with a realization event of the Company, upon the approval of certain investors, or (iii) in connection with the registration, under the Securities Act of 1933, of the Common Stock, unless certain investors determined otherwise. |
5. At the effective time of the Merger, pursuant to the Merger Agreement, each share of Class A-4 common stock of the Company was cancelled for no consideration. |
6. At the effective time of the Merger, pursuant to the Merger Agreement, each share of Class L common stock was converted into the right to receive approximately 0.7549 shares of FIS common stock and $60.14 in cash. |
Remarks: |
/s/ Kevin P. Treanor, Attorney-in-fact | 12/02/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |