SEC Form 4 · accession 0001002225-15-000011
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 25, 2015
Accepted (ET)
Feb 27, 2015 · 7:42 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 25, 2015 | M | 2,680 | $17.91 | A | 46,035 | D | |
| Common Stock | Feb 25, 2015 | D | 1,087 | $44.17 | D | 44,948 | D | |
| Common Stock | Feb 25, 2015 | S | 1,593 | $44.18 | D | 43,355 | D | |
| Common Stock | Feb 27, 2015 | M | 5,891 | $21.67 | A | 49,246 | D | |
| Common Stock | Feb 27, 2015 | D | 2,899 | $44.05 | D | 46,347 | D | |
| Common Stock | Feb 27, 2015 | M | 18,320 | $17.91 | A | 64,667 | D | |
| Common Stock | Feb 27, 2015 | D | 7,449 | $44.05 | D | 57,218 | D | |
| Common Stock | Feb 27, 2015 | S | 2,992 | $44.18 | D | 54,226 | D | |
| Common Stock | Feb 27, 2015 | S | 10,871 | $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 | $17.91 | Feb 25, 2015 | M | 2,680 | D | May 13, 2012 | May 13, 2021 | Common Stock | 2,680 | 19,720 | D |
| Stock Appreciation Rights | $17.91 | Feb 27, 2015 | M | 18,320 | D | May 13, 2012 | May 13, 2021 | Common Stock | 18,320 | 1,400 | D |
| Stock Appreciation Rights | $21.67 | Feb 27, 2015 | M | 5,891 | D | May 14, 2014 | May 14, 2023 | Common Stock | 5,891 | 14,569 | D |
Explanation of responses
- F1Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.