SEC Form 4 · accession 0001002225-15-000034
ADVENT SOFTWARE INC /DE/ · ADVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephanie Dimarco
Director
Period of report
Jul 8, 2015
Accepted (ET)
Jul 10, 2015 · 7:08 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 7, 2015 | Z | 1,306 | $0.00 | D | 0 | D | |
| Common Stock | Jul 8, 2015 | D | 399,654 | $44.25 | D | 0 | I | by CRT Trust |
| Common Stock | Mar 26, 2015 | G | 75,000 | $0.00 | D | 2,393,233 | I | by Living Trust |
| Common Stock | May 7, 2015 | Z | 1,306 | $0.00 | A | 2,394,539 | I | by Living Trust |
| Common Stock | Jul 7, 2015 | G | 75,000 | $0.00 | D | 2,319,539 | I | by Living Trust |
| Common Stock | Jul 8, 2015 | D | 2,319,539 | $44.25 | D | 0 | I | by Living Trust |
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 | $7.84 | Jul 8, 2015 | D | 203,000 | D | Mar 14, 2007 | Mar 14, 2016 | Common Stock | 203,000 | 0 | D |
| Stock Appreciation Rights | $11.88 | Jul 8, 2015 | D | 28,000 | D | May 14, 2009 | May 14, 2018 | Common Stock | 28,000 | 0 | D |
| Stock Appreciation Rights | $21.06 | Jul 8, 2015 | D | 9,814 | D | May 9, 2014 | May 9, 2023 | Common Stock | 9,814 | 0 | D |
| Stock Appreciation Rights | $29.01 | Jul 8, 2015 | D | 9,138 | D | May 7, 2015 | May 7, 2024 | Common Stock | 9,138 | 0 | D |
Explanation of responses
- F1Transfer of shares from directly held to indirectly held in Trust
- F2Disposed of pursuant to the terms of the Merger Agreement in exchange for a cash payment of $44.25 per share on the effective date of the merger.
- F3Gift of shares from Living Trust to San Francisco Foundation.
- F4Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $7,391,230, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.
- F5Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $906,360, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.
- F6Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $227,587, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.
- F7Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $139,263, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.