Symantec 2013 Annual Report Download - page 56

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(3) Based solely on a Schedule 13G filing made by BlackRock, Inc. on February 11, 2013, reporting sole voting
and dispositive power over the shares. This stockholder’s address is 40 East 52nd Street, New York, NY
10022.
(4) Based solely on a Schedule 13G filing made by State Street Corporation on February 12, 2013, reporting sole
voting and dispositive power over the shares. This stockholder’s address is State Street Financial Center, One
Lincoln Street, Boston, MA 02111.
(5) Includes 439,250 shares subject to options that will be exercisable as of September 30, 2013.
(6) Includes 28,750 RSUs vesting as of September 30, 2013.
(7) Includes 177,937 shares subject to options that will be exercisable as of September 30, 2013.
(8) Includes 176,500 shares subject to options that will be exercisable as of September 30, 2013.
(9) Includes 36,000 shares subject to options that will be exercisable as of September 30, 2013.
(10) Includes 36,000 shares subject to options that will be exercisable as of September 30, 2013.
(11) Includes 36,000 shares subject to options that will be exercisable as of September 30, 2013.
(12) Includes 12,000 shares subject to options that will be exercisable as of September 30, 2013.
(13) Includes 981,061 shares subject to options that will be exercisable and RSUs vesting as of September 30,
2013.
Symantec has adopted a policy that executive officers and members of the Board hold an equity stake in our
company. The policy requires each executive officer to hold a minimum number of shares of Symantec common
stock. Newly appointed executive officers are not required to immediately establish their position, but are
expected to make regular progress to achieve it. The Nominating and Governance Committee reviews the mini-
mum number of shares held by the executive officers and directors from time to time. The purpose of the policy
is to more directly align the interests of our executive officers and directors with our stockholders. See “Stock
Ownership Requirements” under the Compensation Discussion & Analysis section for a description of the stock
ownership requirements applicable to our executive officers.
Section 16(a) Beneficial Ownership Reporting Compliance
Section 16 of the Exchange Act requires Symantec’s directors, executive officers and any persons who own
more than 10% of Symantec’s common stock, to file initial reports of ownership and reports of changes in
ownership with the Securities and Exchange Commission (the “SEC”). Such persons are required by SEC regu-
lation to furnish Symantec with copies of all Section 16(a) forms that they file.
Based solely on its review of the copies of such forms furnished to Symantec and written representations
from the directors and executive officers, Symantec believes that all Section 16(a) filing requirements were met
in fiscal year 2013, except that one Form 4 reflecting a grant of PCSUs to Stephen M. Bennett was filed late.
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