Filing Details
- Accession Number:
- 0001246360-11-003985
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-09 17:05:10
- Reporting Period:
- 2011-11-08
- Filing Date:
- 2011-11-09
- Accepted Time:
- 2011-11-09 17:05:10
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
929940 | Aspen Technology Inc | AZPN | Services-Computer Programming Services (7371) | 042739697 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1251386 | C Joan Mcardle | Aspen Technology, Inc. 200 Wheeler Road Burlington MA 01803 | No | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2011-11-08 | 3,253 | $15.04 | 19,462 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2011-11-08 | 8,000 | $15.04 | 27,462 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-11-08 | 11,253 | $18.38 | 16,209 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-11-08 | 55,000 | $18.27 | 120,000 | No | 4 | S | Indirect | By employer |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Indirect | By employer |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Director Stock Option (Right to Buy) | Disposition | 2011-11-08 | 3,253 | $0.00 | 3,253 | $15.04 |
Common Stock | Director Stock Option (Right to Buy) | Disposition | 2011-11-08 | 8,000 | $0.00 | 8,000 | $15.04 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-12-10 | No | 4 | M | Direct | |
0 | 2011-12-10 | No | 4 | M | Direct |
Footnotes
- The option granted at the exercise price of $15.04 was fully vested on the date of grant.
- On the grant date, the option granted at the exercise price of $15.04 was scheduled to vest and become exercisable in four equal installments provided the optionee remained a director. The first installment vested and became exercisable on the third anniversary of the grant date and the three subsequent installments vested on the last day of the next three subsequent quarters. The option became fully exercisable on August 14, 2003 upon the occurrence of a change in control as defined under the terms of the option plan, as amended.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.3713 to $18.43, inclusive. The reporting person undertakes to provide to Aspen Technology, Inc., any security holder of Aspen Technology, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- These securities are held by Massachusetts Capital Resource Company. The reporting person serves as a senior vice president of Massachusetts Capital Resource Company, and may be deemed to have shared voting power over these securities. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 of for any other purpose.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.08 to $18.535, inclusive. The reporting person undertakes to provide to Aspen Technology, Inc., any security holder of Aspen Technology, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.