SEC Form 4 · accession 0001002225-15-000015
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd Gottula
Officer — EVP & CTO, Global Solutn Dev
Period of report
Mar 5, 2015
Accepted (ET)
Mar 9, 2015 · 7:23 pm EDT
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 5, 2015 | M | 700 | $17.91 | A | 53,546 | D | |
| Common Stock | Mar 5, 2015 | D | 285 | $44.09 | D | 53,261 | D | |
| Common Stock | Mar 5, 2015 | M | 2,043 | $21.67 | A | 55,304 | D | |
| Common Stock | Mar 5, 2015 | D | 1,005 | $44.09 | D | 54,299 | D | |
| Common Stock | Mar 5, 2015 | M | 700 | $17.91 | A | 54,999 | D | |
| Common Stock | Mar 5, 2015 | D | 285 | $44.09 | D | 54,714 | D | |
| Common Stock | Mar 5, 2015 | M | 1,433 | $17.80 | A | 56,147 | D | |
| Common Stock | Mar 5, 2015 | D | 579 | $44.09 | D | 55,568 | D | |
| Common Stock | Mar 5, 2015 | M | 8,750 | $12.10 | A | 64,318 | D | |
| Common Stock | Mar 5, 2015 | D | 2,402 | $44.09 | D | 61,916 | D | |
| Common Stock | Mar 5, 2015 | S | 9,070 | $44.07 | D | 52,846 | 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 5, 2015 | M | 8,750 | D | Nov 14, 2013 | Nov 14, 2022 | Common Stock | 8,750 | 61,250 | D |
| Stock Appreciation Rights | $17.80 | Mar 5, 2015 | M | 1,433 | D | May 14, 2013 | May 14, 2022 | Common Stock | 1,433 | 7,169 | D |
| Stock Appreciation Rights | $17.91 | Mar 5, 2015 | M | 700 | D | May 13, 2012 | May 13, 2021 | Common Stock | 700 | 2,333 | D |
| Stock Appreciation Rights | $17.91 | Mar 5, 2015 | M | 700 | D | May 13, 2012 | May 13, 2021 | Common Stock | 700 | 1,633 | D |
| Stock Appreciation Rights | $21.67 | Mar 5, 2015 | M | 2,043 | D | May 14, 2014 | May 14, 2023 | Common Stock | 2,043 | 18,394 | D |
Explanation of responses
- F1Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.