Symantec 2016 Annual Report Download - page 47

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(1) Based solely on a Schedule 13G/A filing made by Dodge & Cox on February 12, 2016, reporting sole vot-
ing and dispositive power over the shares. This stockholder’s address is 555 California Street, 40th Floor,
San Francisco, CA 94104.
(2) Based solely on a Schedule 13G/A filing made by the BlackRock, Inc. on January 27, 2016, reporting sole
voting and dispositive power over the shares. This stockholder’s address is 55 East 52nd Street, New York,
NY 10055.
(3) Based solely on a Schedule 13G/A filing made by the Vanguard Group on February 10, 2016, reporting sole
voting and dispositive power over the shares. This stockholder’s address is 100 Vanguard Blvd., Malvern,
PA 19355.
(4) Based solely on a Schedule 13G/A filing made by the Franklin Mutual Advisers, LLC on February 2, 2016,
reporting sole voting and dispositive power over the shares. This stockholder’s address is 101 John F.
Kennedy Parkway, Short Hills, NJ 07078.
(5) Includes 322,105 shares subject to options that will be exercisable as of October 1, 2016.
(6) Includes 463,089 shares subject to options that will be exercisable as of October 1, 2016.
(7) Includes 296,089 shares subject to options that will be exercisable as of October 1, 2016.
(8) Includes 72,000 shares subject to options that will be exercisable as of October 1, 2016.
(9) Includes 68,000 shares subject to options that will be exercisable as of October 1, 2016.
(10) Includes 1,221,283 shares subject to options that will be exercisable as of October 1, 2016.
Symantec has adopted a policy that executive officers and members of the Board hold an equity stake in the
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 SEC. Such persons are required by SEC regulation 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 2016.
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