SEC Form 4 · accession 0001002225-15-000021
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
May 12, 2015
Accepted (ET)
May 14, 2015 · 12:34 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 | May 12, 2015 | M | 23,000 | $12.75 | A | 66,355 | D | |
| Common Stock | May 12, 2015 | D | 6,723 | $43.62 | D | 59,632 | D | |
| Common Stock | May 12, 2015 | F | 8,493 | $43.50 | D | 51,139 | D | |
| Common Stock | May 12, 2015 | M | 47,000 | $12.10 | A | 98,139 | D | |
| Common Stock | May 12, 2015 | D | 13,038 | $43.62 | D | 85,101 | D | |
| Common Stock | May 12, 2015 | F | 17,722 | $43.5413 | D | 67,379 | D | |
| Common Stock | May 12, 2015 | S | 7,784 | $43.50 | D | 59,595 | D | |
| Common Stock | May 12, 2015 | S | 702 | $43.50 | D | 58,893 | D | |
| Common Stock | May 12, 2015 | S | 16,240 | $43.5413 | D | 42,653 | D | |
| Common Stock | May 12, 2015 | S | 4,893 | $43.50 | D | 37,760 | 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 | May 12, 2015 | M | 47,000 | D | Nov 14, 2013 | Nov 14, 2022 | Common Stock | 47,000 | 48,589 | D |
| Stock Appreciation Rights | $12.75 | May 12, 2015 | M | 23,000 | D | May 14, 2011 | May 14, 2020 | Common Stock | 23,000 | 0 | D |
Explanation of responses
- F1Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.
- F2Shares traded for taxes. No open market activity.