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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Frank Joseph J. 80 LAMBERTON RD C/O SS&C TECHNOLOGIES, INC. WINDSOR, CT 06095 |
SVP,Global Head of M&A and CLO |
/Joseph J. Frank/ | 09/20/2018 | |
**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 reported securities reflect restricted stock units granted as dividend equivalents which accrued as and when dividends were paid on the issuer's common stock, including (i) 16.1730 restricted stock units granted in connections with the issuer's 06/01/2018 quarterly dividend that was paid to shareholders on 6/15/18 and which was credited to the reporting person on 07/02/2018 and (ii) 14.5642 restricted stock units granted in connection with the issuer's 09/04/2018 quarterly dividend that was paid to shareholders on 09/18/2018 but, due to an administrative error, was credited to the reporting person's account on 09/11/2018. |
(2) | The market value of the underlying securities was (i) $50.93 in respect of the June quarterly dividend and (ii) $59.00 in respect of the September quarterly dividend. |