-----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, EEcAr9qfeGwdOyUhlucSxC/F5bFdBN0sz/I1y2sn5D/GzvLTGw8VFjKr+ev9/gvo YQaie+UD5s/5dJ98aT6s/A== 0001245258-03-000025.txt : 20031202 0001245258-03-000025.hdr.sgml : 20031202 20031202143301 ACCESSION NUMBER: 0001245258-03-000025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031201 FILED AS OF DATE: 20031202 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: 031032274 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 2003-12-01 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 2003-12-01 4 M 0 2499 13.55 A 2527 D Common Stock 2003-12-01 4 S 0 2499 19.5 D 28 D Non-Qualified Stock Option (right to buy) 13.55 2003-12-01 4 M 0 2499 19.5 D 2011-08-15 Common Stock 2499 35008 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. The 28 shares listed in Table I, Section 5, Amount of Securities Beneficially Owned Following Reported Transaction(s), represent shares purchased on December 1, 2003 through the Employee Stock Purchase Plan. L. EVAN ELLIS, JR. 2003-12-02 -----END PRIVACY-ENHANCED MESSAGE-----