0001002225-15-000039.txt : 20150710
0001002225-15-000039.hdr.sgml : 20150710
20150710190908
ACCESSION NUMBER: 0001002225-15-000039
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150708
FILED AS OF DATE: 20150710
DATE AS OF CHANGE: 20150710
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: Momsen Christopher
CENTRAL INDEX KEY: 0001559488
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26994
FILM NUMBER: 15984545
MAIL ADDRESS:
STREET 1: 600 TOWNSEND STREET
STREET 2: SUITE 500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94103
4
1
edgardoc.xml
PRIMARY DOCUMENT
X0306
4
2015-07-08
1
0001002225
ADVENT SOFTWARE INC /DE/
ADVS
0001559488
Momsen Christopher
600 TOWNSEND STREET
SAN FRANCISCO
CA
94103
0
1
0
0
EVP, Global Sales & Sol Mgmt
Common Stock
2015-05-29
5
J
0
724.0
26.3585
A
58952
D
Common Stock
2015-07-08
4
D
0
19749.0
44.25
D
39203
D
Common Stock
2015-07-08
4
D
0
22400.0
44.25
D
16803
D
Common Stock
2015-07-08
4
D
0
16803.0
44.25
D
0
D
Stock Appreciation Rights
12.1
2015-07-08
4
D
0
140000.0
0.0
D
2013-11-14
2022-11-14
Common Stock
140000
0
D
Stock Appreciation Rights
12.75
2015-07-08
4
D
0
3000.0
31.5
D
2011-05-14
2020-05-14
Common Stock
3000
0
D
Stock Appreciation Rights
15.01
2015-07-08
4
D
0
60000.0
29.24
D
2009-08-14
2018-08-14
Common Stock
60000
0
D
Stock Appreciation Rights
17.8
2015-07-08
4
D
0
22940.0
0.0
D
2013-05-14
2022-05-14
Common Stock
22940
0
D
Stock Appreciation Rights
17.91
2015-07-08
4
D
0
22400.0
26.34
D
2012-05-13
2021-05-13
Common Stock
22400
0
D
Stock Appreciation Rights
21.67
2015-07-08
4
D
0
28600.0
0.0
D
2014-05-14
2023-05-14
Common Stock
28600
0
D
Shares acquired through the 2005 Employee Stock Purchase Plan on 29 May 2015.
Consists of unvested restricted stock units ("Unvested RSUs") that were converted, pursuant to the Merger Agreement by and among the Company, SS&C Technologies Holdings, Inc. and Arbor Acquisition Corporation, into unvested RSUs in respect of SS&C common stock, with each RSU converted into 0.7012 SS&C RSUs.
Pursuant to the terms of the merger agreement, this award of performance-based restricted stock units ("PSUs") was, (i) with respect to 11,822 vested PSUs, canceled in exchange for a cash payment of $523,124, representing the number of vested PSUs times the merger consideration of $44.25 per share; and, (ii) with respect to 10,578 unvested PSUs, converted into unvested RSUs in respect of SS&C common stock, with each PSU converted into 0.7012 SS&C RSUs. Pursuant to the Merger Agreement, the Company's Compensation Committee determined the applicable level of performance at 200% of target performance, and the shares vested to be based on the number of months of service through the merger date as a percentage of the total vesting period of 36 months.
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.
Pursuant to the terms of the merger agreement this stock appreciation right was, (i) with respect to 90,417 vested shares, canceled in exchange for a pre-tax cash payment of $2,906,907, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share, less applicable withholding taxes; and, (ii) with respect to 49,583 unvested shares, converted into unvested stock appreciation rights to acquire shares of SS&C common stock at an exercise price of $17.26 per share, with the right to acquire each Company share converted into the right to acquire 0.7012 shares of SS&C common stock.
Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a pre-tax cash payment of $94,500, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share, less applicable withholding taxes on the effective date of the merger.
Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a pre-tax cash payment of $1,754,400, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share, less applicable withholding taxes on the effective date of the merger.
Pursuant to the terms of the merger agreement this stock appreciation right was, (i) with respect to 17,683 vested shares, canceled in exchange for a pre-tax cash payment of $467,715, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share, less applicable withholding taxes; and, (ii) with respect to 5,257 unvested shares, converted into unvested stock appreciation rights to acquire shares of SS&C common stock at an exercise price of $25.39 per share, with the right to acquire each Company share converted into the right to acquire 0.7012 shares of SS&C common stock.
Represents vested stock appreciation rights that were disposed of pursuant to the Merger Agreement in exchange for a pre-tax cash payment of $590,016, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share, less applicable withholding taxes on the effective date of the merger.
Pursuant to the terms of the merger agreement this stock appreciation right was, (i) with respect to 14,896 vested shares, canceled in exchange for a pre-tax cash payment of $336,352, representing the aggregate difference between the exercise price of the stock appreciation right and the merger consideration of $44.25 per share, less applicable withholding taxes; and, (ii) with respect to 13,704 unvested shares, converted into unvested stock appreciation rights to acquire shares of SS&C common stock at an exercise price of $30.90 per share, with the right to acquire each Company share converted into the right to acquire 0.7012 shares of SS&C common stock.
By: James S Cox For: Christopher J Momsen
2015-07-10