SEC Form 4 · accession 0001002225-15-000009
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Peter Hess
Officer — Chief Executive Officer · Director
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 8:29 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 17, 2015 | M | 8,500 | $9.57 | A | 167,959 | D | |
| Common Stock | Feb 17, 2015 | D | 1,842 | $44.18 | D | 166,117 | D | |
| Common Stock | Feb 17, 2015 | F | 2,502 | $44.18 | D | 163,615 | D | |
| Common Stock | Feb 18, 2015 | S | 4,156 | $44.1842 | D | 159,459 | 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 | $9.57 | Feb 17, 2015 | M | 8,500 | D | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 8,500 | 17,000 | D |
Explanation of responses
- F1Transaction pursuant to 10b5-1 plan dated 31 October 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.