X0306 4 2018-11-05 1 0000356028 CA, INC. CA 0001232409 GREGOIRE MICHAEL P 520 MADISON AVENUE NEW YORK NY 10022 1 1 0 0 Chief Executive Officer Common Stock, $.10 par value 2018-11-05 4 D 0 275468 D 0 D Common Stock, $.10 par value 2018-11-05 4 D 0 19362 D 0 D Common Stock, $.10 par value 2018-11-05 4 D 0 44777 D 0 D Common Stock, $.10 par value 2018-11-05 4 D 0 63775 D 0 D Employee Stock Option (right to buy) 22.82 2018-11-05 4 D 0 324389 0.00 D 2023-08-01 Common Stock, $.10 par value 324389 0 D Employee Stock Option (right to buy) 24.41 2018-11-05 4 D 0 291157 0.00 D 2023-08-01 Common Stock, $.10 par value 291157 0 D Employee Stock Option (right to buy) 26.98 2018-11-05 4 D 0 381208 0.00 D 2024-06-02 Common Stock, $.10 par value 381208 0 D Employee Stock Option (right to buy) 28.69 2018-11-05 4 D 0 212966 0.00 D 2025-01-14 Common Stock, $.10 par value 212966 0 D Employee Stock Option (right to buy) 30.45 2018-11-05 4 D 0 352216 0.00 D 2025-05-29 Common Stock, $.10 par value 352216 0 D Employee Stock Option (right to buy) 31.53 2018-11-05 4 D 0 410719 0.00 D 2026-05-15 Common Stock, $.10 par value 410719 0 D Employee Stock Option (right to buy) 31.69 2018-11-05 4 D 0 447755 0.00 D 2027-05-15 Common Stock, $.10 par value 447755 0 D Employee Stock Option (right to buy) 35.28 2018-11-05 4 D 0 395408 0.00 D 2028-05-15 Common Stock, $.10 par value 395408 0 D Disposed of pursuant to 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"), in exchange for a cash payment of $44.50 per share without interest thereon (the "Merger Consideration"). This restricted stock award ("RSA"), originally for 58,674 shares, of which 39,312 shares have vested, provided for vesting over three years as follows: 34% on May 15, 2017, 33% on May 15, 2018 and 33% on May 15, 2019. 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. This RSA, originally for 67,844 shares, of which 23,067 shares have vested, provided for vesting over three years as follows: 34% on May 15, 2018, 33% on May 15, 2019 and 33% on May 15, 2020. Pursuant to the Letter Agreement, immediately prior to the effective time of 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. This 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. Pursuant to the Letter Agreement, immediately prior to the effective time of 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 fully vested option shares were cancelled pursuant to the Merger Agreement, in exchange for a cash payment equal to (x) the difference between the Merger Consideration and the per share exercise price of the option, multiplied by (y) the number of disposed option shares. This option provided for vesting over three years as follows: 34% on May 15, 2017, 33% on May 15, 2018 and 33% on May 15, 2019. 275,182 vested option shares were cancelled pursuant to the Merger Agreement, in exchange for a cash payment equal to (x) the difference between the Merger Consideration and the per share exercise price of the option, multiplied by (y) the number of disposed option shares. Pursuant to the Letter Agreement, immediately prior to the effective time of the 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. This option provided for vesting over three years as follows: 34% on May 15, 2018, 33% on May 15, 2019 and 33% on May 15, 2020. 152,244 vested option shares were cancelled pursuant to the Merger Agreement, in exchange for a cash payment equal to (x) the difference between the Merger Consideration and the per share exercise price of the option, multiplied by (y) the number of disposed option shares. Pursuant to the Letter Agreement, immediately prior to the effective time of the 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. 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 the 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/ Michael P. Gregoire by Kristen W. Prohl as Attorney-in-Fact 2018-11-05