SEC Form 4 · accession 0001002225-15-000012
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
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 7:31 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 | Mar 2, 2015 | M | 15,428 | $17.80 | A | 58,783 | D | |
| Common Stock | Mar 2, 2015 | D | 6,218 | $44.17 | D | 52,565 | D | |
| Common Stock | Mar 2, 2015 | S | 9,210 | $44.18 | D | 43,355 | D | |
| Common Stock | Mar 2, 2015 | M | 6,379 | $12.10 | A | 49,734 | D | |
| Common Stock | Mar 2, 2015 | D | 1,748 | $44.17 | D | 47,986 | D | |
| Common Stock | Mar 2, 2015 | S | 4,631 | $44.19 | 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 | $12.10 | Mar 2, 2015 | M | 6,379 | D | Nov 14, 2013 | Nov 14, 2022 | Common Stock | 6,379 | 98,621 | D |
| Stock Appreciation Rights | $17.80 | Mar 2, 2015 | M | 15,428 | D | May 14, 2013 | May 14, 2022 | Common Stock | 15,428 | 7,012 | D |
Explanation of responses
- F1Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.