-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JogWX9SNjzbWuguXOiUVJeT+BVeqcu/m/EkjUUKzbi6NYe6XhGP5tuO+HBp6gcn/ UFCQ4evs7wBRUpya6OYOfg== 0001140361-11-009696.txt : 20110215 0001140361-11-009696.hdr.sgml : 20110215 20110215110622 ACCESSION NUMBER: 0001140361-11-009696 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101215 FILED AS OF DATE: 20110215 DATE AS OF CHANGE: 20110215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Malia Thomas J CENTRAL INDEX KEY: 0001373614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35013 FILM NUMBER: 11612910 MAIL ADDRESS: STREET 1: 22708 BRANDYWINE DRIVE CITY: CALABASAS STATE: CA ZIP: 91302 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: QAD INC CENTRAL INDEX KEY: 0001036188 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770105228 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 BUSINESS PHONE: 8055666000 MAIL ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 4 1 doc1.xml FORM 4 X0303 4 2010-12-15 0 0001036188 QAD INC QADA,QADB 0001373614 O'Malia Thomas J 22708 BRANDYWINE DRIVE CALABASAS CA 91302 1 0 0 0 Common Stock ($0.001 par value) 2010-12-15 5 J 0 35311 0 D 0 D Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 3531 0 A 3531 D Class A Common Stock ($0.001 par value) 2010-12-15 5 J 0 14124 0 A 14124 D Stock Appreciation Right (right to buy) 7.50 2010-12-15 5 D 0 30000 0 D 2007-08-15 2014-08-15 Common Stock 30000 0 D Stock Appreciation Right (right to buy) 15.00 2010-12-15 5 A 0 3000 0 A 2007-08-15 2014-08-15 Class B Common Stock 3000 3000 D Stock Appreciation Right (right to buy) 15.00 2010-12-15 5 A 0 12000 0 A 2007-08-15 2014-08-15 Class A Common Stock 12000 12000 D Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock ($0.001 par value) was reclassified into 0.1 of a share of Class B Common Stock ($0.001 par value) (the "Reclassification"). QAD declared a dividend of four shares of Class A Common Stock ($0.001 par value) for each share of Class B Common Stock outstanding as of December 15, 2010 (the "Dividend") which is exempt from the reporting requirements of Section 16 pursuant to Rule 16a-9(a). As a result of the Reclassification and the Dividend (i) each QAD Stock Appreciation Right ("SAR") outstanding on December 15, 2010 was automatically converted into two separate SARs, one with respect to a number of shares of Class B Common Stock equal to 0.1 times the number of existing Common Stock subject to such SAR, and one with respect to a number of shares of Class A Common Stock equal to 4.0 times the number of shares of Class B Common Stock subject to such new SAR, and (ii) the applicable exercise price per share of each SAR shall be twice the exercise price for the existing Common Stock. Amendment of outstanding SARs is deemed cancellation of existing SARs and grant of replacement SARs. The SAR was originally granted on August 15, 2006 and provides for vesting in three equal annual installments commencing on August 15, 2007. Betty Weinert, attorney in fact for Scott Adelson 2011-02-15 -----END PRIVACY-ENHANCED MESSAGE-----