SEC Form 4 · accession 0001002225-15-000005
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wendell G Van Auken III
Director
Period of report
Feb 9, 2015
Accepted (ET)
Feb 11, 2015 · 7:07 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 | Feb 9, 2015 | M | 16,800 | $7.92 | A | 18,106 | D | |
| Common Stock | Feb 9, 2015 | D | 3,004 | $44.30 | D | 15,102 | D | |
| Common Stock | Feb 9, 2015 | M | 16,800 | $11.36 | A | 31,902 | D | |
| Common Stock | Feb 9, 2015 | D | 4,309 | $44.30 | D | 27,593 | D | |
| Common Stock | Feb 9, 2015 | M | 16,800 | $7.84 | A | 44,393 | D | |
| Common Stock | Feb 9, 2015 | D | 2,974 | $44.30 | D | 41,419 | D | |
| Common Stock | Feb 9, 2015 | M | 10,000 | $12.34 | A | 51,419 | D | |
| Common Stock | Feb 9, 2015 | D | 2,786 | $44.30 | D | 48,633 | D | |
| Common Stock | Feb 9, 2015 | M | 8,925 | $17.49 | A | 57,558 | D | |
| Common Stock | Feb 9, 2015 | D | 3,524 | $44.30 | D | 54,034 | D | |
| Common Stock | Feb 9, 2015 | M | 8,470 | $17.80 | A | 62,504 | D | |
| Common Stock | Feb 9, 2015 | D | 3,404 | $44.30 | D | 59,100 | D | |
| Common Stock | Feb 9, 2015 | M | 9,814 | $21.06 | A | 68,914 | D | |
| Common Stock | Feb 9, 2015 | D | 4,666 | $44.30 | D | 64,248 | D | |
| Common Stock | holding | — | — | — | 13,000 | I | Dog Hill Partners LP | |
| Common Stock | holding | — | — | — | 7,336 | I | Van Auken PF | |
| Common Stock | holding | — | — | — | 1,529 | I | WG&ES VanAuken Trust |
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 | Feb 9, 2015 | M | 16,800 | D | May 13, 2010 | May 13, 2019 | Common Stock | 16,800 | 0 | D |
| Stock Appreciation Rights | $7.92 | Feb 9, 2015 | M | 16,800 | D | May 16, 2008 | May 16, 2017 | Common Stock | 16,800 | 0 | D |
| Stock Appreciation Rights | $11.36 | Feb 9, 2015 | M | 16,800 | D | May 7, 2009 | May 7, 2018 | Common Stock | 16,800 | 0 | D |
| Stock Appreciation Rights | $12.34 | Feb 9, 2015 | M | 10,000 | D | Jun 2, 2011 | Jun 2, 2020 | Common Stock | 10,000 | 0 | D |
| Stock Appreciation Rights | $17.49 | Feb 9, 2015 | M | 8,925 | D | May 11, 2012 | May 11, 2021 | Common Stock | 8,925 | 0 | D |
| Stock Appreciation Rights | $17.80 | Feb 9, 2015 | M | 8,470 | D | May 9, 2013 | May 9, 2022 | Common Stock | 8,470 | 0 | D |
| Stock Appreciation Rights | $21.06 | Feb 9, 2015 | M | 9,814 | D | May 9, 2014 | May 9, 2023 | Common Stock | 9,814 | 0 | D |
Explanation of responses
- F1Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.