SEC Form 4 · accession 0001127602-18-016375
ASPEN TECHNOLOGY INC /DE/ · AZPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
F G Hammond
Officer — Senior VP & General Counsel
Period of report
May 2, 2018
Accepted (ET)
May 4, 2018 · 4:09 pm EDT
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 Stock | May 2, 2018 | M | 5,960 | $44.38 | A | 29,113 | D | |
| Common Stock | May 2, 2018 | M | 4,809 | $45.46 | A | 33,922 | D | |
| Common Stock | May 2, 2018 | S | 12,354 | $88.00 | D | 21,568 | D | |
| Common Stock | May 3, 2018 | M | 1,045 | $32.45 | A | 22,613 | D | |
| Common Stock | May 3, 2018 | M | 2,029 | $43.44 | A | 24,642 | D | |
| Common Stock | May 3, 2018 | M | 596 | $44.38 | A | 25,238 | D | |
| Common Stock | May 3, 2018 | S | 3,670 | $88.00 | D | 21,568 | 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 (Right to Buy)F1 | $44.38 | May 2, 2018 | M | 5,960 | D | — | Aug 2, 2025 | Common Stock | 5,960 | 3,580 | D |
| Employee Stock Option (Right to Buy)F2 | $45.46 | May 2, 2018 | M | 4,809 | D | — | Aug 31, 2026 | Common Stock | 4,809 | 6,190 | D |
| Employee Stock Option (Right to Buy)F3 | $32.54 | May 3, 2018 | M | 1,045 | D | — | Jul 31, 2023 | Common Stock | 1,045 | 0 | D |
| Employee Stock Option (Right to Buy)F4 | $43.44 | May 3, 2018 | M | 2,029 | D | — | Jul 31, 2024 | Common Stock | 2,029 | 450 | D |
| Employee Stock Option (Right to Buy)F1 | $44.38 | May 3, 2018 | M | 596 | D | — | Aug 2, 2025 | Common Stock | 596 | 2,984 | D |
Explanation of responses
- F1The option granted at the exercise price of $44.38, vests in 16 equal consecutive quarterly installments on the last business day of each quarter, beginning on September 30, 2015.
- F2The option granted at the exercise price of $45.46, vests in 16 equal consecutive quarterly installments on the last business day of each quarter, beginning on September 30, 2016.
- F3The option granted at the exercise price of $32.54, vests in 16 equal consecutive quarterly installments on the last business day of each quarter, beginning on September 30, 2013.
- F4The option granted at the exercise price of $43.44, vests in 16 equal consecutive quarterly installments on the last business day of each quarter, beginning on September 30, 2014.