SEC Form 4 · accession 0001002225-15-000029
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
May 18, 2015
Accepted (ET)
May 20, 2015 · 8:14 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 18, 2015 | M | 700 | $17.91 | A | 52,192 | D | |
| Common Stock | May 18, 2015 | D | 288 | $43.595 | D | 51,904 | D | |
| Common Stock | May 18, 2015 | M | 2,044 | $21.67 | A | 53,948 | D | |
| Common Stock | May 18, 2015 | D | 1,017 | $43.595 | D | 52,931 | D | |
| Common Stock | May 18, 2015 | M | 8,750 | $12.10 | A | 61,681 | D | |
| Common Stock | May 18, 2015 | D | 2,429 | $43.595 | D | 59,252 | D | |
| Common Stock | May 18, 2015 | M | 1,434 | $17.80 | A | 60,686 | D | |
| Common Stock | May 18, 2015 | D | 586 | $43.595 | D | 60,100 | D | |
| Common Stock | May 18, 2015 | M | 933 | $17.91 | A | 61,033 | D | |
| Common Stock | May 18, 2015 | D | 384 | $43.595 | D | 60,649 | D | |
| Common Stock | May 18, 2015 | S | 2,682 | $43.42 | D | 57,967 | D | |
| Common Stock | May 18, 2015 | S | 9,157 | $43.42 | D | 48,810 | 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 18, 2015 | M | 8,750 | D | Nov 14, 2013 | Nov 14, 2022 | Common Stock | 8,750 | 52,500 | D |
| Stock Appreciation Rights | $17.80 | May 18, 2015 | M | 1,434 | D | May 14, 2013 | May 14, 2022 | Common Stock | 1,434 | 5,735 | D |
| Stock Appreciation Rights | $17.91 | May 18, 2015 | M | 700 | D | May 13, 2011 | May 13, 2021 | Common Stock | 700 | 933 | D |
| Stock Appreciation Rights | $17.91 | May 18, 2015 | M | 933 | D | May 13, 2012 | May 13, 2021 | Common Stock | 933 | 0 | D |
| Stock Appreciation Rights | $21.67 | May 18, 2015 | M | 2,044 | D | May 14, 2014 | May 14, 2023 | Common Stock | 2,044 | 16,350 | D |
Explanation of responses
- F1Exercise of stock settled stock appreciation rights (SS-SAR). Securities disposed were rights withheld to satisfy the exercise price obligation.