SEC Form 4 · accession 0001002225-15-000027
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Peter Hess
Officer — Chief Executive Officer · Director
Period of report
May 15, 2015
Accepted (ET)
May 19, 2015 · 7:30 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 15, 2015 | M | 8,500 | $11.88 | A | 160,392 | D | |
| Common Stock | May 15, 2015 | D | 2,321 | $43.51 | D | 158,071 | D | |
| Common Stock | May 15, 2015 | F | 3,224 | $43.51 | D | 154,847 | D | |
| Common Stock | May 19, 2015 | S | 2,955 | $43.6952 | D | 151,892 | 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 | $11.88 | May 15, 2015 | M | 8,500 | D | May 14, 2009 | May 14, 2018 | Common Stock | 8,500 | 16,700 | D |
Explanation of responses
- F1Transaction pursuant to 10b5-1 plan dated 31 October 2014
- F2Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.
- F3Shares traded for taxes. No open market activity.