SEC Form 4 · accession 0001002225-15-000002
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephanie Dimarco
Director
Period of report
Dec 30, 2014
Accepted (ET)
Jan 20, 2015 · 9:21 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 | Dec 30, 2014 | G | 90,000 | $0.00 | A | 399,654 | I | by CRT Trust |
| Common Stock | Dec 30, 2014 | G | 90,000 | $0.00 | D | 2,253,191 | I | by Living Trust |
| Common Stock | Jan 15, 2015 | M | 215,042 | $7.84 | A | 2,468,233 | I | by Living Trust |
| Common Stock | holding | — | — | — | 1,306 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $7.84 | Jan 15, 2015 | M | 215,042 | D | Jan 28, 2006 | Jan 28, 2015 | Common Stock | 215,042 | 0 | D |
Explanation of responses
- F1Gift of shares from Living Trust to Charitable Remainder Trust.
- F2Option exercise, no open market activity.