| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SS&C Technologies Holdings Inc [ SSNC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/16/2013 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 05/16/2013 | M | 220 | A | $6.42 | 220 | D | |||
| Common Stock | 05/16/2013 | S | 220 | D | $32.0685(1) | 0 | D | |||
| Common Stock | 05/16/2013 | M | 9,173 | A | $8.77 | 9,173 | D | |||
| Common Stock | 05/16/2013 | S | 9,173 | D | $32.0685(1) | 0 | D | |||
| Common Stock | 05/17/2013 | M | 92,827 | A | $8.77 | 92,827 | D | |||
| Common Stock | 05/17/2013 | S | 92,827 | D | $31.9171(2) | 0 | D | |||
| Common Stock | 05/17/2013 | M | 10,000 | A | $8.77 | 10,000 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (right to buy) | $6.42 | 05/16/2013 | M | 220 | 11/23/2005(3) | 05/16/2015 | Common Stock | 220 | $0.00 | 0 | D | ||||
| Stock Option (right to buy) | $8.77 | 05/16/2013 | M | 9,173 | 12/31/2007(4) | 08/09/2016 | Common Stock | 9,173 | $0.00 | 160,827 | D | ||||
| Stock Option (right to buy) | $8.77 | 05/17/2013 | M | 92,827 | 12/31/2007(5) | 08/09/2016 | Common Stock | 92,827 | $0.00 | 68,000 | D | ||||
| Stock Option (right to buy) | $8.77 | 05/17/2013 | M | 10,000 | 08/09/2007(6) | 08/09/2016 | Common Stock | 10,000 | $0.00 | 58,000 | D | ||||
| Explanation of Responses: |
| 1. The price reported is the weighted average of the shares sold. The shares were sold at varying prices in the range of $32.01 to $32.15. The reporting person undertakes, upon request by the Staff of the Securities and Exchange Commission, or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
| 2. The price reported is the weighted average of the shares sold. The shares were sold at varying prices in the range of $31.80 to $32.00. The reporting person undertakes, upon request by the Staff of the Securities and Exchange Commission, or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
| 3. The vesting of this "time-based" option accelerated and became vested in full on November 23, 2005 pursuant to the terms of the option award agreement. |
| 4. This option is a "performance-based" option that vested on December 31, 2007 based on the satisfaction of the established performance target. |
| 5. The option is a "performance-based" option that vested on varying dates between December 31, 2007 and December 31, 2011 based on satisfaction of established performance targets. |
| 6. The option is a "time-based" option that vested as to 25% of the shares on November 23, 2006 and as to 1/36 of the shares each month thereafter until fully vested on November 23, 2009. |
| Remarks: |
| Paul G. Igoe, Attorney-in-fact for Rahul Kanwar | 05/20/2013 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||