-----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, LDDS9TRUPvHNG0shWGeVEVF0DSVNcX40sdBHwYaTgVf0Yz4usNMr+7lsEvJAEos0 XGz/oQWhoj2C3WMHrqCnsQ== 0001245258-03-000020.txt : 20031126 0001245258-03-000020.hdr.sgml : 20031126 20031126163214 ACCESSION NUMBER: 0001245258-03-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031125 FILED AS OF DATE: 20031126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELLIS L EVAN JR CENTRAL INDEX KEY: 0001208741 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25285 FILM NUMBER: 031026955 MAIL ADDRESS: STREET 1: 2755 CAMPUS DR STREET 2: 3RD FL CITY: SAN MATEO STATE: CA ZIP: 94403-2538 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SERENA SOFTWARE INC CENTRAL INDEX KEY: 0001073967 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942669809 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 2755 CAMPUS DRIVE STREET 2: 3RD FLOOR CITY: SAN MATEO STATE: CA ZIP: 94403-2538 BUSINESS PHONE: 6505226600 MAIL ADDRESS: STREET 1: 2755 CAMPUS DRIVE STREET 2: 3RD FLOOR CITY: SAN MATEO STATE: CA ZIP: 94403-2538 4 1 edgardoc.xml PRIMARY DOCUMENT X0201 4 2003-11-25 0 0001073967 SERENA SOFTWARE INC SRNA 0001208741 ELLIS L EVAN JR 2755 CAMPUS DRIVE, 3RD FLOOR SAN MATEO CA 94403-2538 0 1 0 0 Sr VP of Worldwide Ops Common Stock 2003-11-25 4 M 0 2499 13.55 A 2499 D Common Stock 2003-11-25 4 S 0 2499 18.98 D 0 D Common Stock 2003-11-25 4 M 0 4687 9.07 A 4687 D Common Stock 2003-11-25 4 S 0 4687 19 D 0 D Non-Qualified Stock Option (right to buy) 9.07 2003-11-25 4 M 0 4687 19 D 2012-08-14 Common Stock 4687 40536 D Non-Qualified Stock Option (right to buy) 13.55 2003-11-25 4 M 0 2499 18.98 D 2011-08-15 Common Stock 2499 37507 D This sale was subject to a prearranged 10b5-1 Sales Plan. The option vests over a period of four years with 25% of the shares subject thereto vesting on the first anniversary of the date of grant and the remaining shares vesting ratably on a monthly basis thereafter. L. EVAN ELLIS, JR. 2003-11-26 -----END PRIVACY-ENHANCED MESSAGE-----