ADVENT SOFTWARE INC /DE/ 4

Accession 0001002225-15-000034

CIK 0001002225operating

Filed

Jul 9, 8:00 PM ET

Accepted

Jul 10, 7:08 PM ET

Size

21.8 KB

Accession

0001002225-15-000034

Form 4

Period: 2015-07-08

DirectorChief Executive Officer

Transactions

Gift
Common Stock
2015-03-26−75,000→ 2,393,233 total(indirect: By Trust)
Disposition to Issuer
Stock Appreciation Rights
2015-07-08$23.19/sh−9,814$227,587→ 0 total
Exercise: $21.06From: 2014-05-09Exp: 2023-05-09→ Common Stock (9,814 underlying)
Disposition to Issuer
Common Stock
2015-07-08$44.25/sh−2,319,539$102,639,601→ 0 total(indirect: By Trust)
Disposition to Issuer
Stock Appreciation Rights
2015-07-08$36.41/sh−203,000$7,391,230→ 0 total
Exercise: $7.84From: 2007-03-14Exp: 2016-03-14→ Common Stock (203,000 underlying)
Disposition to Issuer
Stock Appreciation Rights
2015-07-08$32.37/sh−28,000$906,360→ 0 total
Exercise: $11.88From: 2009-05-14Exp: 2018-05-14→ Common Stock (28,000 underlying)
Deposit Into/Withdrawal From Voting Trust
Common Stock
2015-05-07−1,306→ 0 total
Gift
Common Stock
2015-07-07−75,000→ 2,319,539 total(indirect: By Trust)
Disposition to Issuer
Common Stock
2015-07-08$44.25/sh−399,654$17,684,690→ 0 total(indirect: By Trust)
Deposit Into/Withdrawal From Voting Trust
Common Stock
2015-05-07+1,306→ 2,394,539 total(indirect: By Trust)
Disposition to Issuer
Stock Appreciation Rights
2015-07-08$15.24/sh−9,138$139,263→ 0 total
Exercise: $29.01From: 2015-05-07Exp: 2024-05-07→ Common Stock (9,138 underlying)

Footnotes (7)

[F1]Transfer of shares from directly held to indirectly held in Trust
[F2]Disposed of pursuant to the terms of the Merger Agreement in exchange for a cash payment of $44.25 per share on the effective date of the merger.
[F3]Gift of shares from Living Trust to San Francisco Foundation.
[F4]Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $7,391,230, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.
[F5]Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $906,360, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.
[F6]Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $227,587, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.
[F7]Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a cash payment of $139,263, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share.

Documents

1 file

ADVENT SOFTWARE INC /DE/

CIK 0001002225

Entity typeoperating

IncorporatedDE