0001181431-13-038938.txt : 20130703
0001181431-13-038938.hdr.sgml : 20130703
20130703185659
ACCESSION NUMBER: 0001181431-13-038938
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130701
FILED AS OF DATE: 20130703
DATE AS OF CHANGE: 20130703
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Edward & Elizabeth McDermott Trust
CENTRAL INDEX KEY: 0001545752
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26994
FILM NUMBER: 13954517
BUSINESS ADDRESS:
STREET 1: 591 REDWOOD HIGHWAY
STREET 2: SUITE 3215
CITY: MILL VALLEY
STATE: CA
ZIP: 94941
BUSINESS PHONE: 415-383-6600
MAIL ADDRESS:
STREET 1: 591 REDWOOD HIGHWAY
STREET 2: SUITE 3215
CITY: MILL VALLEY
STATE: CA
ZIP: 94941
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCDERMOTT EDWARD H
CENTRAL INDEX KEY: 0001252464
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26994
FILM NUMBER: 13954518
MAIL ADDRESS:
STREET 1: 591 REDWOOD HIGHWAY
STREET 2: STE 3215
CITY: MILL VALLEY
STATE: CA
ZIP: 94941
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JOHN H SCULLY LIVING TRUST
CENTRAL INDEX KEY: 0001273627
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26994
FILM NUMBER: 13954519
BUSINESS ADDRESS:
STREET 1: 591 REDWOOD HIGHWAY
STREET 2: SUITE 3215
CITY: MILL VALLEY
STATE: CA
ZIP: 94941
BUSINESS PHONE: 415-383-6600
MAIL ADDRESS:
STREET 1: 591 REDWOOD HIGHWAY
STREET 2: SUITE 3215
CITY: MILL VALLEY
STATE: CA
ZIP: 94941
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCULLY JOHN H
CENTRAL INDEX KEY: 0001202553
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26994
FILM NUMBER: 13954520
MAIL ADDRESS:
STREET 1: 591 REDWOOD HIGHWAY
STREET 2: SUITE 3215
CITY: MILL VALLEY
STATE: CA
ZIP: 94941
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WEINBERG ELI J
CENTRAL INDEX KEY: 0001252462
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26994
FILM NUMBER: 13954521
MAIL ADDRESS:
STREET 1: 591 REDWOOD HIGHWAY
STREET 2: STE 3215
CITY: MILL VALLEY
STATE: CA
ZIP: 94941
4
1
rrd384600.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2013-07-01
0
0001002225
ADVENT SOFTWARE INC /DE/
ADVS
0001252462
WEINBERG ELI J
591 REDWOOD HIGHWAY , SUITE 3215
MILL VALLEY
CA
94941
0
0
1
0
0001202553
SCULLY JOHN H
591 REDWOOD HIGHWAY, SUITE 3215
MILL VALLEY
CA
94941
1
0
1
0
0001273627
JOHN H SCULLY LIVING TRUST
591 REDWOOD HIGHWAY , SUITE 3215
MILL VALLEY
CA
94941
0
0
1
0
0001252464
MCDERMOTT EDWARD H
591 REDWOOD HIGHWAY , SUITE 3215
MILL VALLEY
CA
94941
0
0
1
0
0001545752
Edward & Elizabeth McDermott Trust
591 REDWOOD HIGHWAY
SUITE 3215
MILL VALLEY
CA
94941
0
0
1
0
Common Stock
2013-07-01
4
P
0
0
0
A
8198921
I
See footnotes
This form is being filed as part of an internal restructuring that occurred on July 1, 2013 in which Eli J. Weinberg ("EJW") became, for purposes of Section 13D of the Securities and Exchange Act of 1934, an additional controlling person of SPO Advisory Corp. ("SPO Corp."), which also involved the John H. Scully Living Trust ("JHS Trust") and the Edward & Elizabeth McDermott Trust ("EHM Trust"). As a result of his becoming an additional controlling person, EJW may be deemed to form a "group" together with (i) SPO Partners II, L.P. ("SPO Partners") and San Francisco Partners, L.P. ("SF Partners"), (ii) SPO Advisory Partners, L.P. ("SPO Advisory"), the sole general partner of SPO Partners, (iii) SF Advisory Partners, L.P. ("SF Advisory"), the sole general partner of SF Partners, (iv) SPO Corp., the sole general partner of SPO Advisory and SF Advisory, (v) John H. Scully ("JHS"), Edward H. McDermott ("EHM"), and EJW, the three controlling persons of SPO Corp.
Additionally, following the transaction which caused this filing, 7,526,521 shares of the Issuer's common stock are owned directly by SPO Partners and may be deemed to be indirectly beneficially owned by (i) SPO Advisory, (ii) SPO Corp. and (iii) JHS, EHM and EJW. Additionally, 672,400 shares of the Issuer's common stock are owned directly by SF Partners, and may be deemed to be indirectly beneficially owned by (i) SF Advisory, (ii) SPO Corp. and (iii) JHS, EHM and EJW.
Additionally, following the transaction which caused this filing, JHS beneficially owns 400 shares of the Issuer's common stock held in the JHS individual retirement accounts, which are self directed. Additionally, Phoebe Snow Foundation ("PSF") owns 31,800 shares of the Issuer's common stock. These shares may be deemed to be beneficially owned by JHS solely in his capacity as a controlling person, director and executive officer of PSF. Additionally, JHS owns 120,000 stock options of the Issuer's common stock. These stock options were granted to JHS as a director of the company. Pursuant to the partnership agreement governing SPO Partners, total stock options owned by JHS may be deemed to be indirectly beneficially owned by SPO Partners, along with any profits arising from the exercise of the aforementioned stock options. Additionally, EJW owns 340 shares of the Issuer's common stock in his individual account, which is self directed.
The individuals and entities listed in the Notes above may be deemed to form a "group", as such term is defined in Rule 13d-5(b)(1) promulgated under the Securities Exchange Act of 1934. This filing shall not be deemed as an admission by the Reporting Person that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this statement. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest, if any, therein.
Kim M. Silva, Attorney-in-fact
2013-07-03