0001002225-13-000053.txt : 20130515 0001002225-13-000053.hdr.sgml : 20130515 20130515182746 ACCESSION NUMBER: 0001002225-13-000053 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130513 FILED AS OF DATE: 20130515 DATE AS OF CHANGE: 20130515 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: 13849019 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 X0306 4 2013-05-13 0 0001002225 ADVENT SOFTWARE INC /DE/ ADVS 0001309147 Hess David Peter 600 TOWNSEND STREET SAN FRANCISCO CA 94103 1 1 0 0 Chief Executive Officer Common Stock 2013-05-13 4 D 0 1373.0 30.2 D 45150 D Common Stock 2013-05-14 4 D 0 1240.0 30.67 D 43910 D Common Stock 2013-05-14 4 A 0 21700.0 0.0 A 65610 D Stock Appreciation Rights 30.67 2013-05-14 4 A 0 139000.0 30.67 A 2014-05-14 2023-05-14 Common Stock 139000 139000 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. 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: James S Cox For: David Peter Hess 2013-05-14