ASHTON JAMES E III 4

4 · SUNGARD CAPITAL CORP · Filed Oct 30, 2009

Form 4

Period: 2009-10-28

Division CEO

Transactions

Exercise/Conversion
Class A-8 Common Stock
2009-10-28−238,028.748→ 414,074.269 total
Exercise/Conversion
Rollover Unit Option (right to buy)
2009-10-28−10,739.667→ 0 total
Exercise: $4.50From: 2005-08-11Exp: 2012-03-06→ Unit (10,739.667 underlying)
Exercise/Conversion
Rollover Unit Option (right to buy)
2009-10-28−39,436.741→ 0 total
Exercise: $4.50From: 2005-08-11Exp: 2014-02-25→ Unit (39,436.741 underlying)
Exercise/Conversion
Rollover Unit Option (right to buy)
2009-10-28−55,037.63→ 0 total
Exercise: $4.50From: 2005-08-11Exp: 2015-03-03→ Unit (55,037.63 underlying)
Exercise/Conversion
Class L Common Stock
2009-10-28+26,439.501→ 45,994.096 total
Exercise: $0.00→ Class A-8 Common Stock (26,439.501 underlying)
Exercise/Conversion
Rollover Unit Option (right to buy)
2009-10-28−77,885→ 0 total
Exercise: $4.50From: 2005-08-11Exp: 2013-03-03→ Unit (77,885 underlying)

Footnotes (4)

[F1]Shares received upon exercise of an aggregate of 183,099.0370 options for Units at an exercsie price of $4.50 per Unit.
[F2]Each "Unit" consists of 1.3 shares of Class A-8 common stock and 0.1444 shares of Class L common stock of SunGard Capital Corp. and 0.05 shares of preferred stock of SunGard Capital Corp. II.
[F3]Class L common stock automatically converts into Class A-8 Common Stock (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 of the Class A-8 Common Stock, unless the Majority Principal Investors determine otherwise.
[F4]Each share of Class L common stock 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.

Documents

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