SEC Form 4 · accession 0001209191-16-135704
SS&C Technologies Holdings Inc · SSNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William C Stone
Officer — Chairman of the Board & CEO · Director · 10% Owner
Period of report
Aug 4, 2016
Accepted (ET)
Aug 5, 2016 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001402436
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 4, 2016 | M | 1,179,034 | $4.385 | A | 32,101,624 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $4.385 | Aug 4, 2016 | A | 539,412 | A | — | Aug 9, 2016 | Common Stock | 539,412 | 0 | D |
| Stock Option (Right to Buy)F2 | $4.385 | Aug 4, 2016 | A | 301,744 | A | — | Aug 9, 2016 | Common Stock | 301,744 | 0 | D |
| Stock Option (Right to Buy)F3 | $4.385 | Aug 4, 2016 | A | 337,878 | A | — | Aug 9, 2016 | Common Stock | 337,878 | 0 | D |
Explanation of responses
- F1The option is a "performance-based" option that vested in full on December 31, 2010.
- F2The option is a "performance-based" option that vested in full on December 31, 2011.
- F3The option is a "time-based" option that vested in full on November 23, 2009.