FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/25/2007 |
3. Issuer Name and Ticker or Trading Symbol
CA, INC. [ CA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $.10 par value | 37,130(1) | D | |
Common Stock, $.10 par value | 103.652 | I | 401(k) Plan(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (3) | 02/23/2008 | Common Stock, $.10 par value | 2,500 | $47.25 | D | |
Employee Stock Option (right to buy) | (4) | 10/20/2008 | Common Stock, $.10 par value | 15,000 | $36.5 | D | |
Employee Stock Option (right to buy) | (5) | 07/21/2009 | Common Stock, $.10 par value | 20,000 | $51.688 | D | |
Employee Stock Option (right to buy) | (6) | 07/20/2010 | Common Stock, $.10 par value | 2,590 | $27 | D | |
Employee Stock Option (right to buy) | (7) | 07/20/2010 | Common Stock, $.10 par value | 18,410 | $27 | D | |
Employee Stock Option (right to buy) | (8) | 07/20/2010 | Common Stock, $.10 par value | 9,000 | $27 | D | |
Employee Stock Option (right to buy) | (9) | 02/12/2014 | Common Stock, $.10 par value | 15,000 | $27.32 | D | |
Employee Stock Option (right to buy) | (10) | 04/01/2015 | Common Stock, $.10 par value | 5,217 | $27.26 | D | |
Employee Stock Option (right to buy) | (11) | 05/20/2015 | Common Stock, $.10 par value | 18,800 | $28.98 | D | |
Employee Stock Option (right to buy) | (12) | 08/02/2016 | Common Stock, $.10 par value | 28,286 | $21.77 | D | |
Employee Stock Option (right to buy) | (13) | 09/14/2016 | Common Stock, $.10 par value | 10,000 | $24.28 | D |
Explanation of Responses: |
1. Includes shares purchased under the CA, Inc. Year 2000 Employee Stock Purchase Plan and restricted stock and restricted stock units granted at various times that vest over a three year period or a two year period. |
2. Shares held in the CA Savings Harvest Plan, a 401(k) Plan. Information presented as of June 25, 2007. |
3. This option vests over a five year period as follows: 25% on February 23, 2000, 20% on February 23, 2001, 25% on February 23, 2002 and 30% on February 23, 2003. |
4. This option vests over a five year period as follows: 25% on October 20, 2000, 20% on October 20, 2001, 25% on October 20, 2002 and 30% on October 20, 2003. |
5. This option vests over a five year period as follows: 10% on July 21, 2000, 15% on July 21, 2001, 20% on July 21, 2002, 25% on July 21, 2003 and 30% on July 21, 2004. |
6. This option vests over a four year period as follows: 370 on July 20, 2001, 555 on July 20, 2002, 740 on July 20, 2003 and 925 on July 20, 2004. |
7. This option vests over a four year period as follows: 2,630 on July 20, 2001, 3,945 on July 20, 2002, 5,260 on July 20, 2003 and 6,575 on July 20, 2004. |
8. This option vests 100% on June 8, 2007. |
9. This option vests over a three year period as follows: 34% on February 12, 2005, 33% on February 12, 2006 and 33% on February 12, 2007. |
10. This option vests over a three year period as follows: 34% on April 1, 2006, 33% on April 1, 2007 and 33% on April 1, 2008. |
11. This option vests over a three year period as follows: 34% on May 20, 2006, 33% on May 20, 2007 and 33% on May 20, 2008. |
12. This option vests over a three year period as follows: 34% on August 2, 2007, 33% on August 2, 2008 and 33% on August 2, 2009. |
13. This option vests over a three year period as follows: 34% on September 14, 2007, 33% on September 14, 2008 and 33% on September 14, 2009. |
/s/ Lawrence Egan, by power of attorney | 07/05/2007 | |
** 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 5 (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. |