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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 8.77 | 08/16/2012 | M | 14,199 | (4) | 08/09/2016 | Common Stock | 14,199 | $ 0 | 239,009 (4) | D | ||||
Stock Option (right to buy) | $ 8.77 | 08/17/2012 | M | 40,000 | (4) | 08/09/2016 | Common Stock | 40,000 | $ 0 | 199,009 (4) | D | ||||
Stock Option (right to buy) | $ 8.77 | 08/20/2012 | M | 35,800 | (4) | 08/09/2016 | Common Stock | 35,800 | $ 0 | 163,209 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WHITMAN STEPHEN V R C/O SS&C TECHNOLOGIES HOLDINGS, INC. 80 LAMBERTON ROAD WINDSOR, CT 06095 |
SVP and General Counsel |
Stephen B. Hudak III, attorney-in-fact for Stephen V.R. Whitman | 08/20/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The price reported is the weighted average of the shares sold. The shares were sold at varying prices in the range of $22.70 to $22.74. The reporting person undertakes, upon request by the Staff of the Securities and Exchange Commission, the issuer, 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 $22.60 to $22.88. The reporting person undertakes, upon request by the Staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(3) | The price reported is the weighted average of the shares sold. The shares were sold at varying prices in the range of $22.77 to $22.8743. The reporting person undertakes, upon request by the Staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(4) | The option grant of August 9, 2006 consisted of: 1) 120,686 "time-based" options that vested as to 25% on November 23, 2006 and as to 1/36th of the shares each month thereafter until fully vested on November 23, 2009, 2) 120,686 "performance-based" options that vested based on the determination of the Issuer's board of directors as to the satisfaction of certain performance criteria for each fiscal year 2006 through 2010 which were met resulting in the 100% vesting of such options, and 3) 60,343 "superior-options" which, upon the Issuer's initial public offering, became "performance-based" options that vested based on the determination of the Issuer's board of directors as to the satisfaction of certain performance criteria for fiscal years 2010 and 2011 which were met resulting in the 100% vesting of such options. Of the total 253,208 options granted on August 9, 2006, the reporting person previously exercised 48,507 "time-based" options on February 9, 2011. |