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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 | ||||||||
Common Stock Option (Right to Buy) | $ 9.55 | 11/09/2009 | A | 117,529 | (4) | 11/08/2019 | Common Stock | 117,259 | $ 0 | 117,259 | D | ||||
Common Stock (Right to Buy) | $ 9.55 | 11/09/2009 | A | 10,471 | (5) | 11/08/2019 | Common Stock | 10,471 | $ 0 | 10,471 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FUSCO MARK C/O ASPEN TECHNOLOGY, INC. 200 WHEELER ROAD BURLINGTON, MA 01803 |
X | President and CEO |
/s/ F. G. Hammond, Attorney-in-Fact | 11/12/2009 | |
**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) | Each restricted stock unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. |
(2) | Restricted stock units do not have an exercise price. |
(3) | Shares withheld by Registrant to satisfy statutory tax withholding requirements on vesting of restricted stock units and distribution of stock. |
(4) | The option granted at the exercise price of $9.55 was vested as to 80,000 shares on the date of grant. The balance vests in 4 increments of 8,000 shares on the last day of each quarter beginning in the first quarter of 2010, and a final increment of 5,529 shares vesting on June 30, 2011. |
(5) | The option was granted at the exercise price of $9.55 and will vest as to 8,000 shares on March 31, 2011, and the balance of 2,471 shares will vest on June 30, 2011. |