SEC Form 4
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*
NOONAN JACK

(Last) (First) (Middle)
233 S. WACKER DRIVE
11TH FLOOR

(Street)
CHICAGO IL 60606

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SPSS INC [ SPSS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman, CEO and President
3. Date of Earliest Transaction (Month/Day/Year)
10/02/2009
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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, $0.01 par value 10/02/2009 D 202,989 D $50(1) 94,677 D
Common Stock, $0.01 par value 10/02/2009 A 156,800 A $0.00(2) 251,477 D
Common Stock, $0.01 par value 10/02/2009 D 251,477(3) D $50 0 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Employee Stock Option (Right to Buy) $15.98 10/02/2009 D 70,000 01/21/2005(4) 12/20/2014 Common Stock 70,000 $34.02(5) 0 D
Employee Stock Option (Right to Buy) $21.1 10/02/2009 D 70,000 03/02/2004(4) 02/01/2014 Common Stock 70,000 $28.9(5) 0 D
Employee Stock Option (Right to Buy) $18.29 10/02/2009 D 3,144 08/18/2003(6) 08/17/2013 Common Stock 3,144 $31.71(5) 0 D
Employee Stock Option (Right to Buy) $14.759 10/02/2009 D 36,351 02/02/2003(4) 01/01/2013 Common Stock 36,351 $35.241(5) 0 D
Employee Stock Option (Right to Buy) $14.599 10/02/2009 D 33,649 02/02/2003(4) 01/01/2013 Common Stock 33,649 $35.401(5) 0 D
Employee Stock Option (Right to Buy) $19.09 10/02/2009 D 70,000 02/02/2002(4) 01/01/2012 Common Stock 70,000 $30.91(5) 0 D
Employee Stock Option (Right to Buy) $22.375 10/02/2009 D 50,000 03/01/2002(7) 02/28/2011 Common Stock 50,000 $27.625(5) 0 D
Employee Stock Option (Right to Buy) $21.59 10/02/2009 D 925 01/02/2002(8) 01/01/2011 Common Stock 925 $28.41(5) 0 D
Employee Stock Option (Right to Buy) $20.625 10/02/2009 D 49,075 01/02/2002(8) 01/01/2011 Common Stock 49,075 $29.375(5) 0 D
Explanation of Responses:
1. These shares of SPSS common stock are being disposed of in exchange for $50.00 per share in connection with the merger agreement pursuant to which International Business Machines Corporation acquired SPSS.
2. These shares of common stock were granted to the reporting person on January 8, 2009 in the form of restricted share units ("RSUs") subject to the achievement of performance targets. Each RSU represents the right to receive one share of SPSS common stock. This RSU grant was not yet reported because the performance targets were not yet achieved. In accordance with the terms of the original grant, these RSUs vested and were deemed acquired upon the closing of the merger pursuant to which International Business Machines Corporation acquired SPSS (regardless of whether any applicable performance targets have been satisfied). As such, this RSU grant is being reported as of the effective date of the merger.
3. These shares of SPSS common stock were granted in the form of restricted share units ("RSUs"). Each RSU represents the right to receive one share of SPSS common stock. 94,677 of these RSUs were subject to a time-based vesting schedule and 156,800 of these RSUs were subject to a performance-based vesting schedule. In accordance with the terms of the grant and the merger agreement pursuant to which International Business Machines Corporation acquired SPSS, in exchange for these RSUs, the reporting person became entitled to receive a cash payment equal to the merger consideration ($50.00) multipled by the number of shares of common stock subject to the RSUs.
4. These options vested ratably over a four-year period with 2.09% of the total option becoming exercisable on the first day after the conclusion of the first month following the Grant Date and an additional 2.09% of the shares originally covered by the option becoming exercisable on the first day following the conclusion of each month thereafter throughout the first, second, third and fourth year following the Grant Date.
5. In accordance with the terms of the grant and the merger agreement pursuant to which International Business Machines Corporation acquired SPSS, in exchange for these options, the reporting person became entitled to receive a cash payment equal the number of shares of common stock subject to the options multipled by the difference between the merger consideration ($50.00) and the exercise price of the option.
6. These options vested immediately upon the date of grant.
7. These options were initially granted with seven-year cliff vesting subject to acceleration if the SPSS Board determinated that certain performance criteria were acheived for the year ended December 31, 2005. The SPSS Board determined that the performance criteria were achieved, and vesting was accelerated such that the vesting was as follows: 25% of the total option became exercisable on the first anniversary of the Grant Date, an additional 2.09% of the number of shares originally covered by the option became exercisable on the first day following the conclusion of each month in the second, third and fourth years following the Grant Date (other than the final month of the fourth year following the Grant Date); and an additional 1.85% of the number of shares originally covered by the option became exercisable on the first day following the conclusion of the final month of the fourth year following the Grant Date.
8. These options were initially granted with seven-year cliff vesting subject to acceleration if the SPSS Board determinated that certain performance criteria were acheived for the year ended December 31, 2001. The SPSS Board determined that the performance criteria were achieved, and vesting was accelerated such that the vesting was as follows: 25% of the total option became exercisable on the first anniversary of the Grant Date, an additional 2.09% of the number of shares originally covered by the option became exercisable on the first day following the conclusion of each month in the second, third and fourth years following the Grant Date (other than the final month of the fourth year following the Grant Date); and an additional 1.85% of the number of shares originally covered by the option became exercisable on the first day following the conclusion of the final month of the fourth year following the Grant Date.
Remarks:
/s/ Robert Brinkmann, pursuant to Power of Attorney filed with the SEC on September 16, 2003 10/05/2009
** 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).
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