SEC Form 4 · accession 0001002225-15-000001
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Sperling
Officer — EVP, Global Client Experience
Period of report
Jan 14, 2015
Accepted (ET)
Jan 16, 2015 · 9:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001002225
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 14, 2015 | S | 6,028 | $35.08 | D | 51,624 | D | |
| Common Stock | Jan 15, 2015 | M | 12,600 | $9.57 | A | 64,224 | D | |
| Common Stock | Jan 15, 2015 | D | 3,414 | $35.32 | D | 60,810 | D | |
| Common Stock | Jan 15, 2015 | F | 3,452 | $35.32 | D | 57,358 | D | |
| Common Stock | Jan 15, 2015 | M | 22,400 | $7.84 | A | 79,758 | D | |
| Common Stock | Jan 15, 2015 | D | 4,973 | $35.32 | D | 74,785 | D | |
| Common Stock | Jan 15, 2015 | F | 6,710 | $35.32 | D | 68,075 | D | |
| Common Stock | Jan 16, 2015 | S | 16,451 | $36.1909 | D | 51,624 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights | $7.84 | Jan 15, 2015 | M | 22,400 | D | Apr 17, 2007 | Apr 17, 2016 | Common Stock | 22,400 | 0 | D |
| Stock Appreciation Rights | $9.57 | Jan 15, 2015 | M | 12,600 | D | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 12,600 | 8,400 | D |
Explanation of responses
- F1Transaction pursuant to 10b5-1 plan dated 09 December 2014
- F2Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.
- F3Shares traded for taxes. No open market activity.