SEC Form 4 · accession 0001002225-15-000031
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M Tarkoff
Director
Period of report
Jun 9, 2015
Accepted (ET)
Jun 10, 2015 · 4:11 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 | Jun 9, 2015 | M | 1,254 | $21.06 | A | 3,788 | D | |
| Common Stock | Jun 9, 2015 | S | 648 | $43.76 | D | 3,140 | D | |
| Common Stock | Jun 9, 2015 | D | 606 | $43.61 | D | 2,534 | D | |
| Common Stock | Jun 9, 2015 | S | 1,435 | $43.7532 | D | 1,099 | 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 | $21.06 | Jun 9, 2015 | M | 1,254 | D | May 9, 2014 | May 9, 2023 | Common Stock | 1,254 | 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.