0001002225-13-000062.txt : 20130523 0001002225-13-000062.hdr.sgml : 20130523 20130523192105 ACCESSION NUMBER: 0001002225-13-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130522 FILED AS OF DATE: 20130523 DATE AS OF CHANGE: 20130523 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AUKEN WENDELL G VAN III CENTRAL INDEX KEY: 0001197110 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26994 FILM NUMBER: 13869928 MAIL ADDRESS: STREET 1: C/O TONI BUGNI, JACKSON FUND SERVICES STREET 2: 225 WEST WACKER DRIVE, SUITE 950 CITY: CHICAGO STATE: IL ZIP: 60606 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT SOFTWARE INC /DE/ CENTRAL INDEX KEY: 0001002225 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 942901952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 600 TOWNSEND ST CITY: SAN FRANCISCO STATE: CA ZIP: 94103 BUSINESS PHONE: 4155437696 MAIL ADDRESS: STREET 1: 600 TOWNSEND ST CITY: SAN FRANCISCO STATE: CA ZIP: 94103 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-05-22 0 0001002225 ADVENT SOFTWARE INC /DE/ ADVS 0001197110 AUKEN WENDELL G VAN III 600 TOWNSEND STREET SAN FRANCISCO CA 94103 1 0 0 0 Common Stock 2013-05-22 4 M 0 12000.0 10.0 A 27613 I WG&ES VanAuken Trust Common Stock 2013-05-22 4 M 0 4000.0 8.95 A 31613 I WG&ES VanAuken Trust Common Stock 2013-05-22 4 M 0 24000.0 9.99 A 55613 I WG&ES VanAuken Trust Common Stock 1529 D Common Stock 13000 I Dog Hill Partners LP Common Stock 13000 I Van Auken Charitable Non-Qualified Stock Option (right to buy) 8.95 2013-05-22 4 M 0 4000.0 D 2004-12-01 2013-12-01 Common Stock 4000 0 D Non-Qualified Stock Option (right to buy) 9.99 2013-05-22 4 M 0 24000.0 D 2006-06-07 2015-06-07 Common Stock 24000 0 D Non-Qualified Stock Option (right to buy) 10.0 2013-05-22 4 M 0 12000.0 D 2005-12-01 2014-12-01 Common Stock 12000 0 D Grant of Restricted Stock Units Dog Hill Partners LP Wendell G & Ethel S Van Auken Charitable Remainder Unitrust U/A/D 7/29/96 Option exercise, no open market activity. By: James S Cox For: Wendell G Van Auken 2013-05-23