SEC Form 4 · accession 0001127602-16-069181
ASPEN TECHNOLOGY INC /DE/ · AZPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Halsey Wise
Director
Period of report
Oct 7, 2016
Accepted (ET)
Dec 5, 2016 · 5:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000929940
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 7, 2016 | W | 32 | $0.00 | A | 32 | I | By trust |
| Common Stock | Dec 2, 2016 | S | 32 | $52.1186 | D | 0 | I | By trust |
| Common Stock | holding | — | — | — | 2,303 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is a trustee of a charitable remainder unitrust. The reporting person and members of his immediate family will receive an annuity from the trust for 15 years. They are not beneficiaries of the remainder. Assets formerly held in an individual retirement account of the reporting person's deceased father were distributed to the trust on October 7, 2016. The reporting person reports beneficial ownership of all of the Aspen Technology, Inc. common stock held by the trust, but disclaims beneficial ownership of such common stock except to the extent of his pecuniary interest therein.