SEC Form 4 · accession 0001016125-15-000075
ULTIMATE SOFTWARE GROUP INC · ULTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Phenicie
Officer — Senior VP, Workplace Sales
Period of report
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 3:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001016125
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 29, 2015 | M | 12,000 | $32.54 | A | 66,344 | D | |
| Common StockF1,F2 | Oct 29, 2015 | S | 700 | $200.359 | D | 65,644 | D | |
| Common StockF1,F3 | Oct 29, 2015 | S | 4,000 | $201.629 | D | 61,644 | D | |
| Common StockF1,F4 | Oct 29, 2015 | S | 4,250 | $202.855 | D | 57,394 | D | |
| Common StockF1,F5 | Oct 29, 2015 | S | 3,050 | $203.445 | D | 54,344 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option | $32.54 | Oct 29, 2015 | M | 12,000 | D | Apr 28, 2008 | Apr 28, 2018 | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a Rule 10(b)5-1 trading plan adopted by the reporting person on August 12, 2015.
- F2The sales price represents the weighted average sales price ranging in price from $199.910 to $200.610. The number of shares sold at each separate price will be made available to the SEC Staff, the issuer, or a security holder of the issuer upon request.
- F3The sales price represents the weighted average sales price ranging in price from $201.160 to $202.010. The number of shares sold at each separate price will be made available to the SEC Staff, the issuer, or a security holder of the issuer upon request.
- F4The sales price represents the weighted average sales price ranging in price from $202.160 to $203.130. The number of shares sold at each separate price will be made available to the SEC Staff, the issuer, or a security holder of the issuer upon request.
- F5The sales price represents the weighted average sales price ranging in price from $203.190 to $203.860. The number of shares sold at each separate price will be made available to the SEC Staff, the issuer, or a security holder of the issuer upon request.