SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
The following table sets forth information, as of June 30, 2017, with respect to the beneficial ownership of Symantec common stock by (i) each stockholder known by Symantec to be the beneficial owner of more than 5% of Symantec common stock, (ii) each member of the Board, (iii) the named executive officers of Symantec included in the Summary Compensation Table appearing on page 31 of this Annual Report on Form 10-K and (iv) all current executive officers and directors of Symantec as a group.
Beneficial ownership is determined under the rules of the SEC and generally includes voting or investment power with respect to securities. Unless otherwise indicated below, the persons and entities named in the table have sole voting and sole investment power with respect to all shares beneficially owned, subject to community property laws where applicable. Percentage ownership is based on 610,990,648 shares of Symantec common stock outstanding as of June 30, 2017 (excluding shares held in treasury). Shares of common stock subject to stock options and restricted stock units vesting on or before August 29, 2017 (within 60 days of June 30, 2017) are deemed to be outstanding and beneficially owned for purposes of computing the percentage ownership of such person but are not treated as outstanding for purposes of computing the percentage ownership of others.
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| Name and Address of Beneficial Owner | | Amount and Nature of Beneficial Ownership | | | | Percent of Class | | |
| 5% Beneficial Owner | | | | | | | | |
| Capital World Investors (1) | | | 66,441,047 | | | | 10.9 | % |
| Vanguard Group Inc. (2) | | | 61,583,993 | | | | 10.1 | % |
| Franklin Mutual Advisors, LLC (3) | | | 41,305,074 | | | | 6.8 | % |
| BlackRock, Inc. (4) | | | 39,562,423 | | | | 6.5 | % |
| Directors and Executive Officers | | | | | | | | |
| Gregory S. Clark (5) | | | 4,593,111 | | | | * | |
| Michael D. Fey (6) | | | 1,385,581 | | | | * | |
| Nicholas R. Noviello (7) | | | 968,062 | | | | * | |
| Michael Brown **(8) | | | 431,606 | | | | * | |
| David L. Mahoney | | | 174,979 | | | | * | |
| Francis C. Rosch (9) | | | 155,956 | | | | * | |
| Scott C. Taylor | | | 154,910 | | | | * | |
| Daniel H. Schulman | | | 144,545 | | | | * | |
| Robert S. Miller | | | 135,513 | | | | * | |
| Geraldine B. Laybourne | | | 120,727 | | | | * | |
| Frank E. Dangeard | | | 95,426 | | | | * | |
| V. Paul Unruh | | | 75,267 | | | | * | |
| Anita M. Sands | | | 45,386 | | | | * | |
| Roxane Divol | | | 42,194 | | | | * | |
| Thomas J. Seifert ** (8) | | | 41,374 | | | | * | |
| Suzanne M. Vautrinot | | | 32,825 | | | | * | |
| Kenneth Y. Hao | | | 29,418 | | | | * | |
| Amy Cappellanti-Wolf | | | 22,097 | | | | * | |
| David W. Humphrey | | | 18,630 | | | | * | |
| All current Symantec executive officers and directors as a group (10) | | | 8,194,627 | | | | 1.3 | % |
| (1) | Based solely on a Schedule 13G filing made by Capital World Investors on February 10, 2017, reporting sole voting and dispositive power over the shares. This stockholder’s address is 333 South Hope Street, Los Angeles, CA 90071. |
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| (2) | Based solely on a Schedule 13G/A filing made by the Vanguard Group on June 10, 2017, reporting sole voting and dispositive power over the shares. This stockholder’s address is 100 Vanguard Blvd., Malvern, PA 19355. |
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| (3) | Based solely on a Schedule 13G/A filing made by the Franklin Mutual Advisers, LLC on February 7, 2017, reporting sole voting and dispositive power over the shares. This stockholder’s address is 101 John F. Kennedy Parkway, Short Hills, NJ 07078. |
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| (4) | Based solely on a Schedule 13G/A filing made by the BlackRock, Inc. on January 27, 2017, reporting sole voting and dispositive power over the shares. This stockholder’s address is 55 East 52nd Street, New York, NY 10055. |
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| (5) | Includes 207,907 shares held by the T.R. 01/29/2016 Gregory S. Clark Living Trust for which Mr. Clark exercises voting and dispositive power, 2,121,613 shares held by GSC-OZ Investment LLC for which Mr. Clark exercises voting and dispositive power, 1,932,635 shares subject to options that will be exercisable as of August 29, 2017 and 123,644 shares issuable upon the settlement of RSUs as of August 29, 2017. |
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| (6) | Includes 1,300,812 shares subject to options that will be exercisable as of August 29, 2017 and 82,722 shares issuable upon the settlement of RSUs as of August 29, 2017. |
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| (7) | Includes 926,314 shares subject to options that will be exercisable as of August 29, 2017 and 31,214 shares issuable upon the settlement of RSUs as of August 29, 2017. |
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| (8) | Beneficial ownership data is current through the date of such former officer’s departure. |
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| (9) | Includes 40,000 shares subject to options that will be exercisable as of August 29, 2017. |
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| (10) | Includes 4,199,761 shares subject to options that will be exercisable as of August 29, 2017. |
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Equity Compensation Plan Information
The following table gives information about Symantec’s common stock that may be issued upon the exercise of options, warrants and rights under all of Symantec’s existing equity compensation plans as of March 31, 2017:
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| | Equity Compensation Plan Information | | | | | | | | | | |
| Plan Category | | Number of Securities to be Issued Upon Exercise of Outstanding Options, Warrants and Rights | | | | Weighted- Average Exercise Price of Outstanding Options, Warrants and Rights | | | | Number of Securities Remaining Available for Future Issuance Under Equity Compensation Plans (Excluding Securities Reflected in Column (a)) | | |
| | (a) | | | | (b) | | | | (c) | | |
| Equity compensation plans approved by security holders | | | 140,426 | | | $ | 13.13 | | | | 85,324,824 | (1) |
| Equity compensation plans not approved by security holders | | | — | (2) | | | — | | | | — | |
| Total | | | 140,426 | | | $ | 13.13 | | | | 85,324,824 | |
| (1) | Represents 59,931 shares remaining available for future issuance under Symantec’s 2000 Director Equity Incentive Plan, 209,599 shares remaining available for future issuance under Symantec’s 2002 Executive Officer’s Stock Purchase Plan, 38,965,625 shares remaining available for future issuance under Symantec’s 2008 Employee Stock Purchase Plan and 46,095,669 shares remaining available for future issuance as stock options under our 2013 Plan. |
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| (2) | Excludes outstanding options to acquire 19,390,010 shares as of March 31, 2017 that were assumed as part of various acquisitions. The weighted average exercise price of these outstanding options was $8.91 as of March 31, 2017. In connection with these acquisitions, Symantec has only assumed outstanding options and rights, but not the plan themselves, and therefore, no further options may be granted under these acquired-company plans. |
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