SEC Form 4 · accession 0001127602-18-026947
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
Sep 4, 2018
Accepted (ET)
Sep 6, 2018 · 5:11 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 StockF1,F2 | Sep 4, 2018 | A | 5,851 | $0.00 | A | 24,852 | 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)F3 | $115.36 | Sep 4, 2018 | A | 7,224 | A | — | Sep 3, 2028 | Common Stock | 7,224 | 7,224 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units vest in 16 equal consecutive quarterly installments on the last business day of the quarter, beginning with the quarter ending September 30, 2018.
- F2The Restricted Stock Units were received as a grant for no consideration.
- F3The option granted at the exercise price of $115.36 vests in 16 equal consecutive quarterly installments on the last business day of the quarter, beginning with the quarter ending September 30, 2018.