0001002225-12-000052.txt : 20120516 0001002225-12-000052.hdr.sgml : 20120516 20120516171344 ACCESSION NUMBER: 0001002225-12-000052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120514 FILED AS OF DATE: 20120516 DATE AS OF CHANGE: 20120516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hess David Peter CENTRAL INDEX KEY: 0001309147 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26994 FILM NUMBER: 12849586 MAIL ADDRESS: STREET 1: 301 BRANNAN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94107 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 X0305 4 2012-05-14 0 0001002225 ADVENT SOFTWARE INC /DE/ ADVS 0001309147 Hess David Peter 600 TOWNSEND STREET SAN FRANCISCO CA 94103 1 1 0 0 President Common Stock 2012-05-14 4 M 0 5000.0 9.48 A 34634.0 D Common Stock 2012-05-14 4 S 0 5000.0 26.7375 D 29634.0 D Common Stock 2012-05-14 4 D 0 1834.0 26.8 D 27800.0 D Common Stock 2012-05-14 4 D 0 660.0 26.8 D 27140.0 D Common Stock 2012-05-14 4 A 0 7420.0 0.0 A 34560.0 D Non-Qualified Stock Option (right to buy) 9.48 2012-05-14 4 M 0 5000.0 26.7375 D 2004-10-17 2013-10-17 Common Stock 5000.0 9182.0 D Stock Appreciation Rights 26.8 2012-05-14 4 A 0 47560.0 0.0 A 2013-05-14 2022-05-14 Common Stock 47560.0 47560.0 D Disposed shares withheld through net share settlement associated with the vesting of restricted stock units, to satisfy tax withholding obligations. No open market activity. 50% of the Restricted Stock Units will vest on the two year anniversary of the date of grant and 50% of the Restricted Stock Units will vest on the four year anniversary of the date of grant, subject to the Participant remaining a Service Provider until the respective vesting dates and the Company achieving certain performance goals as established pursuant to the Company's 2002 Stock Plan, as amended and restated on April 1, 2012. Transaction pursuant to 10b5-1 plan dated February 9, 2012 25% of the Shares subject to the Stock Appreciation Right shall vest twelve months after the Vesting Commencement Date, and 1/48 of the Shares subject to the grant shall vest each month thereafter, subject to the employee continuing to be a Service Provider on such dates. By: Randall Cook For: David Peter Hess Jr 2012-05-16