-----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, Qe2GuvqrNkifzRVuBHUXmY1bMO/n7nJJhB7RfaJpoVuRLN0EMqwWp4zNI/e1XD53 YwFLBnSGL62S55kLMTDXig== 0001140361-11-009701.txt : 20110215 0001140361-11-009701.hdr.sgml : 20110215 20110215112853 ACCESSION NUMBER: 0001140361-11-009701 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101215 FILED AS OF DATE: 20110215 DATE AS OF CHANGE: 20110215 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOPKER PAMELA M CENTRAL INDEX KEY: 0001102753 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35013 FILM NUMBER: 11612994 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 0001102753 LOPKER PAMELA M 100 INNOVATION PLACE SANTA BARBARA CA 93108 1 1 1 0 President Common Stock ($0.001 par value) 2010-12-15 5 J 0 17303070 0 D 0 I Lopker Living Trust Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 1730307 0 A 1730307 I Lopker Living Trust Class A Common Stock ($0.001 par value) 2010-12-15 5 J 0 6921228 0 A 6921228 I Lopker Living Trust Common Stock ($0.001 par value) 2010-12-15 5 J 0 383700 0 D 0 I Bo Lopker Trust Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 38370 0 A 38370 I Bo Lopker Trust Class A Common Stock ($0.001 par value) 2010-12-15 5 J 0 153480 0 A 153480 I Bo Lopker Trust Common Stock ($0.001 par value) 2010-12-15 5 J 0 394641 0 D 0 I Juliana Lopker Trust Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 39464 0 A 39464 I Juliana Lopker Trust Class A Common Stock ($0.001 par value) 2010-12-15 5 J 0 157856 0 A 157856 I Juliana Lopker Trust Common Stock ($0.001 par value) 2010-12-15 5 J 0 12473 0 D 0 I Lopker Family 1997 Charitable Remainder Trust Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 1247 0 A 1247 I Lopker Family 1997 Charitable Remainder Trust Class A Common Stock ($0.001 par value) 2010-12-15 5 P 0 4988 0 A 4988 I Lopker Family 1997 Charitable Remainder Trust Common Stock ($0.001 par value) 2010-12-15 5 J 0 198281 0 D 0 I Lopker Family Foundation Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 19828 0 A 19828 I Lopker Family Foundation Class A Common Stock ($0.001 par value) 2010-12-15 5 P 0 79312 0 A 79312 I Lopker Family Foundation Common Stock ($0.001 par value) 2010-12-15 5 J 0 274862 0 D 0 D Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 27486 0 A 27486 D Class A Common Stock ($0.001 par value) 2010-12-15 5 J 0 109944 0 A 109944 D Common Stock ($0.001 par value) 2010-12-15 5 J 0 10286 0 D 0 I IRA Class B Common Stock ($0.001 par value) 2010-12-15 5 J 0 1028 0 A 1028 I IRA Class A Common Stock ($0.001 par value) 2010-12-15 5 J 0 4114 0 A 4114 I IRA Non-Qualified Stock Option (right to buy) 12.32 2010-12-15 4 D 0 150000 0 D 2005-03-11 2012-03-11 Common Stock 150000 0 D Non-Qualified Stock Option (right to buy) 24.64 2010-12-15 4 A 0 15000 0 A 2005-03-11 2012-03-11 Class B Common Stock 15000 15000 D Non-Qualified Stock Option (right to buy) 24.64 2010-12-15 4 A 0 60000 0 A 2005-03-11 2012-03-11 Class A Common Stock 60000 60000 D Non-Qualified Stock Option (right to buy) 7.69 2010-12-15 4 D 0 150000 0 D 2006-06-21 2013-06-21 Common Stock 150000 0 D Non-Qualified Stock Option (right to buy) 15.38 2010-12-15 4 A 0 15000 0 A 2006-06-21 2013-06-21 Class B Common Stock 15000 15000 D Non-Qualified Stock Option (right to buy) 15.38 2010-12-15 4 A 0 60000 0 A 2006-06-21 2013-06-21 Class A Common Stock 60000 60000 D Stock Appreciation Right (right to buy) 7.37 2010-12-15 4 D 0 150000 0 D 2007-09-06 2014-09-06 Common Stock 150000 0 D Stock Appreciation Right (right to buy) 14.74 2010-12-15 4 A 0 15000 0 A 2007-09-06 2014-09-06 Class B Common Stock 15000 15000 D Stock Appreciation Right (right to buy) 14.74 2010-12-15 4 A 0 60000 0 A 2007-09-06 2014-09-06 Class A Common Stock 60000 60000 D Stock Appreciation Right (right to buy) 4.48 2010-12-15 4 D 0 300000 0 D 2011-06-01 2018-06-01 Common Stock 300000 0 D Stock Appreciation Right (right to buy) 8.96 2010-12-15 4 A 0 30000 0 A 2011-06-01 2018-06-01 Class B Common Stock 30000 30000 D Stock Appreciation Right (right to buy) 8.96 2010-12-15 4 A 0 120000 0 A 2011-06-01 2018-06-01 Class A Common Stock 120000 120000 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 Non-Qualified Stock Option and each Stock Appreciation Right ("SAR") outstanding on December 15, 2010 was automatically converted into two separate options or SARs, one with respect to a number of shares of Class B Common Stock equal to 0.1 times the nbumber of existing Common Stock subject to such option or 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 option or SAR, and (ii) the applicable exercise price per share of each option or SAR shall be twice the exercise price for the existing Common Stock. Amendment of outstanding options or SARs is deemed cancellation of existing option or SAR and grant of replacement option or SAR. The option was originally granted on March 11, 2004 and provides for vesting in four equal annual installments commencing on March 11, 2005. The option was originally granted on June 21, 2005 and provides for vesting in four equal annual installments commencing on June 21, 2006. The SAR was originally granted on September 6, 2006 and provides for vesting in four equal annual installments commencing on September 6, 2007. The SAR was originally granted on June 1, 2010 and provides for vesting in four equal annual installments commencing on June 1, 2011. Betty Weinert, attorney in fact for Pamela M. Lopker 2011-02-15 -----END PRIVACY-ENHANCED MESSAGE-----