0001181431-12-059406.txt : 20121119 0001181431-12-059406.hdr.sgml : 20121119 20121119163443 ACCESSION NUMBER: 0001181431-12-059406 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121115 FILED AS OF DATE: 20121119 DATE AS OF CHANGE: 20121119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Silbey Victoria E CENTRAL INDEX KEY: 0001314957 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53653 FILM NUMBER: 121214979 MAIL ADDRESS: STREET 1: 680 EAST SWEDESFORD ROAD CITY: WAYNE STATE: PA ZIP: 19087 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SUNGARD CAPITAL CORP CENTRAL INDEX KEY: 0001337272 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 203059890 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 680 EAST SWEDESFORD RD CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 484-582-2000 MAIL ADDRESS: STREET 1: 680 EAST SWEDESFORD RD CITY: WAYNE STATE: PA ZIP: 19087 4 1 rrd360565.xml SILBEY.SCC.FORM4 X0306 4 2012-11-15 0 0001337272 SUNGARD CAPITAL CORP NONE 0001314957 Silbey Victoria E 680 EAST SWEDESFORD ROAD WAYNE PA 19087 0 1 0 0 SVP & Chief Legal Officer Time-Based Restricted Stock Unit 0 2012-11-15 4 A 0 12540 0 A Unit 12540 12540 D Performance-Based Restricted Stock Unit 0 2012-11-15 4 A 0 12540 0 A Unit 12540 12540 D Time-Based Restricted Stock Units ("RSU") vest over four years with 25% vesting on each of the first three anniversary dates of the date of grant and the final 25% vesting on June 1, 2016. The Reporting Person's vested RSUs are paid in shares upon the first to occur of (i) a change of control, (ii) the Reporting Person's separation from service without cause, or (iii) June 1, 2016. If a change of control occurs before the RSUs are fully vested, any RSUs that subsequently vest are paid upon the first to occur of clauses (ii) and (iii) above. 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. Performance-Based RSUs vest upon the satisfaction of certain performance criteria for the period beginning January 1, 2013 and ending December 31, 2013, with 25% of the earned amount vesting on each of December 31, 2013, November 15, 2014 and November 15, 2015 and the final 25% vesting on June 1, 2016. The Reporting Person's vested RSUs are paid in shares upon the first to occur of (i) a change of control, (ii) the Reporting Person's separation from service without cause, or (iii) June 1, 2016. If a change of control occurs before the RSUs are fully vested, any RSUs that subsequently vest are paid upon the first to occur of clauses (ii) and (iii) above. Leslie S. Brush, attorney-in-fact for Victoria E. Silbey 2012-11-19