SEC Form 4 · accession 0001002225-15-000010
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
Feb 20, 2015
Accepted (ET)
Feb 24, 2015 · 9:16 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 20, 2015 | S | 124 | $44.20 | D | 44,962 | D | |
| Common Stock | Feb 20, 2015 | S | 1,607 | $44.202 | D | 43,355 | D | |
| Common Stock | Feb 24, 2015 | M | 5,440 | $21.67 | A | 48,795 | D | |
| Common Stock | Feb 24, 2015 | D | 2,670 | $44.16 | D | 46,125 | D | |
| Common Stock | Feb 24, 2015 | S | 2,770 | $44.18 | D | 43,355 | 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 | $21.67 | Feb 24, 2015 | M | 5,440 | D | May 14, 2014 | May 14, 2023 | Common Stock | 5,440 | 20,460 | D |
Explanation of responses
- F1Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.