SEC Form 4 · accession 0001002225-15-000038

· ADVS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Asiff S Hirji

Director

Period of report

Jul 8, 2015

Accepted (ET)

Jul 10, 2015 · 7:09 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	Jul 8, 2015	D	1,159	$44.25	D	5,314	D
Common Stock	Jul 8, 2015	D	5,314	$44.25	D	0	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Appreciation Rights	$14.05	Jul 8, 2015	D	14,875	D	Sep 14, 2012	Sep 14, 2021	Common Stock	14,875	D
Stock Appreciation Rights	$17.80	Jul 8, 2015	D	8,470	D	May 9, 2013	May 9, 2022	Common Stock	8,470	D
Stock Appreciation Rights	$21.06	Jul 8, 2015	D	9,814	D	May 9, 2014	May 9, 2023	Common Stock	9,814	D
Stock Appreciation Rights	$29.01	Jul 8, 2015	D	9,138	D	May 7, 2015	May 7, 2024	Common Stock	9,138	D

Explanation of responses

F1Consists of vested restricted stock units that were disposed of pursuant to the terms of the Merger Agreement by and among the Company, SS&C Technologies Holdings, Inc. and Arbor Acquisition Corporation in exchange for a cash payment of $44.25 per share on the effective date of the merger. The awards fully vested on the effective date of the merger per the terms of the award agreement.
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.
F3Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $449,225, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share. The awards fully vested on the effective date of the merger per the terms of the award agreement.
F4Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $224,032, 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 $227,587, 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 $139,263, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.