-----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, IY/u4+qouOazvq3vPlDx7btVMP5fKbzbgTWaT7dG0U0tC2n8swqOtfOQHqgnMvG/ j0j+st8OTez17WRZTUzxfg== 0001088033-07-000013.txt : 20070628 0001088033-07-000013.hdr.sgml : 20070628 20070628121845 ACCESSION NUMBER: 0001088033-07-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061127 FILED AS OF DATE: 20070628 DATE AS OF CHANGE: 20070628 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: QUEST SOFTWARE INC CENTRAL INDEX KEY: 0001088033 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330231678 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5 POLARIS WAY CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9497548000 MAIL ADDRESS: STREET 1: 5 POLARIS WAY CITY: ALISO VIEJO STATE: CA ZIP: 92656 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH VINCENT C CENTRAL INDEX KEY: 0001106662 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26937 FILM NUMBER: 07945900 BUSINESS ADDRESS: BUSINESS PHONE: 9497548000 MAIL ADDRESS: STREET 1: 8001 IRVINE CENTER DRIVE CITY: IRVINE STATE: CA ZIP: 92618 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-11-27 0001088033 QUEST SOFTWARE INC QSFT 0001106662 SMITH VINCENT C C/O QUEST SOFTWARE, INC. 5 POLARIS WAY ALISO VIEJO CA 92656 1 1 1 0 Chairman and CEO Common Stock 2006-11-27 4 C 0 250000 D 30342300 I Through limited liability companies Common Stock 2006-12-11 4 C 0 200000 D 30142300 I Through limited liability companies Common Stock 2006-12-26 4 C 0 250000 D 29892300 I Through limited liability companies Common Stock 153440 I By children Common Stock 47060 I By Vincent C. Smith Charitable Remainder Trust Common Stock 857731 D Forward Contract (obligation to sell) 2006-11-27 4 C 0 250000 0 D 2006-11-27 2006-11-27 Common Stock 250000 0 D Forward Contract (obligation to sell) 2006-12-11 4 C 0 200000 0 D 2006-12-11 2006-12-11 Common Stock 200000 0 D Forward Contract (obligation to sell) 2006-12-26 4 C 0 250000 0 D 2006-12-26 2006-12-26 Common Stock 250000 0 D On each of the transaction dates identified in this form, the reporting person caused to be delivered the number of shares of Quest Software common stock indicated to settle according to its terms a forward purchase contract that was confirmed by the reporting person on December 10, 2004 and pursuant to which the reporting person received an aggregate cash payment totaling $8,425,279.80. The price of the shares on each settlement date was less than the Floor Price of $14.8594 per share resulting in the delivery of the full amount of the shares deliverable on the respective settlement dates, in accordance with the terms of the forward purchase contract. The reporting person disclaims beneficial ownership of the common stock held in the name of his children. The reporting person disclaims beneficial ownership of the common stock held by the CRT except to the extent of his pecuniary interest therein. Vincent C. Smith 2007-06-28 -----END PRIVACY-ENHANCED MESSAGE-----