-----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, ND0VK1W7EcRmA0c4xhNeYaYAC9eJmvTQiDLPnWzW5+5+BgQJt6Ae1fG+QqUMotLZ Y6oi3Ys0XvQl3ynWFbYXIQ== 0000950137-96-001490.txt : 19960819 0000950137-96-001490.hdr.sgml : 19960819 ACCESSION NUMBER: 0000950137-96-001490 CONFORMED SUBMISSION TYPE: 11-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19951231 FILED AS OF DATE: 19960816 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPSS INC CENTRAL INDEX KEY: 0000869570 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 362815480 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 11-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-22194 FILM NUMBER: 96616643 BUSINESS ADDRESS: STREET 1: 444 NORTH MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 3123292400 MAIL ADDRESS: STREET 1: 444 N MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60611 11-K 1 FORM 11-K 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [FEE REQUIRED] For the year ended December 31, 1995 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the transition period from to -------------------- -------------------- Commission file number 33-64732 ------------------------------------------------------- SPSS Inc. 401(k) Plan 444 North Michigan Avenue, Chicago, Illinois 60611 Registrant's telephone number including area code: (312) 329-2400 (Name and Address of Issuer) SPSS Inc. 444 North Michigan Avenue, Chicago, Illinois 60611 This document consists of pages. The Exhibit Index begins on page . ------ ------ 2 Independent Auditors' Report The Plan's Trustees SPSS Inc. 401(k) Plan: We have audited the accompanying statements of net assets available for plan benefits of the SPSS Inc. 401(k) Plan (the Plan) as of December 31, 1994 and 1995, and the related statements of changes in net assets available for plan benefits for each of the years in the three-year period ended December 31, 1995. These financial statements are the responsibility of the Plan's management. Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with generally accepted auditing standards. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the financial statements referred to above present fairly, in all material respects, the net assets available for plan benefits as of December 31, 1994 and 1995, and the changes in net assets available for plan benefits for each of the years in the three-year period ended December 31, 1995 in conformity with generally accepted accounting principles. Our audits were performed for the purpose of forming an opinion on the basic financial statements taken as a whole. The supplemental information included in Schedules 1 and 2 is presented for the purpose of additional analysis and is not required as part of the basic financial statements, but is supplementary information required by the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. The fund information included in note 5 to the financial statements is presented for purposes of additional analysis rather than to present the net assets available for plan benefits and changes in the net assets available for plan benefits of each fund. The supplemental schedules and fund information have been subjected to the auditing procedures applied in the audits of the basic financial statements and, in our opinion, are fairly stated in all material respects in relation to the basic financial statements taken as a whole. KPMG Peat Marwick LLP August 2, 1996 1 3 SPSS INC. 401(k) PLAN Statements of Net Assets Available for Plan Benefits December 31, 1994 and 1995
1994 1995 ---------- --------- Assets: Investments, at fair value: LaSalle Income Plus Fund $1,271,580 -- Investment Advisers Emerging Growth Fund 1,445,160 -- Vanguard U.S. Growth Fund 768,198 -- Twentieth Century Balanced Investors Fund 644,211 -- SPSS Inc. 401(k) Stock Fund 169,422 -- Fidelity Managed Income Portfolio -- 1,372,621 Fidelity Intermediate Bond Fund -- 325,220 Fidelity Asset Manager Portfolio -- 183,067 Fidelity Puritan Fund -- 515,572 Fidelity Growth and Income Portfolio -- 1,004,817 Fidelity Blue Chip Growth Fund -- 1,494,180 Fidelity Contrafund -- 648,743 Fidelity Overseas Fund -- 377,187 Retirement Money Market -- 13 ---------- --------- Total investments 4,298,571 5,921,420 Participant contributions receivable from SPSS Inc. 77,239 5,389 Participant loans receivable 153,539 167,673 ---------- --------- Total Assets 4,529,349 6,094,482 Liabilities: Accrued liabilities -- 36,355 ---------- --------- Total Liabilities -- 36,355 Net assets available for plan benefits $4,529,349 6,058,127 ========== =========
See accompanying notes to financial statements. 2 4 SPSS INC. 401(k) PLAN Statements of Changes in Net Assets Available for Plan Benefits Years ended December 31, 1993, 1994 and 1995
1993 1994 1995 ---------- -------- -------- Additions to net assets attributed to: Investment income: Guaranteed Interest Contract Fund (GIC) - interest $ 528 -- -- Nicholas II Growth Fund # net change in fair value (6,892) -- -- Fidelity Retirement Growth Fund - net change in fair value (3,367) -- -- LaSalle Income Plus Fund - interest 56,769 55,172 22,134 Investment Advisers Emerging Growth Fund - net change in fair value 135,447 68,879 84,762 Vanguard U.S. Growth Fund - net change in fair value 9,009 31,301 72,050 Twentieth Century Balanced Investors Fund - net change in fair value 40,986 7,630 20,129 SPSS Inc. 401(k) Stock Fund - net change in fair value -- 45,334 (4,886) Fidelity Managed Income Portfolio - net change in fair value -- -- 53,354 Fidelity Intermediate Bond Fund - net change in fair value -- -- 17,616 Fidelity Asset Manager Portfolio - net change in fair value -- -- 15,483 Fidelity Puritan Fund - net change in fair value -- -- 49,781 Fidelity Growth and Income Portfolio - net change in fair value -- -- 141,270 Fidelity Blue Chip Growth Fund - net change in fair value -- -- 136,316 Fidelity Contrafund - net change in fair value -- -- 84,153 Fidelity Overseas Fund - net change in fair value -- -- 18,529 Retirement Money Market - net change in fair value -- -- 13 ---------- --------- --------- Total investment income 232,480 208,316 710,704 Participant loans, net 8,622 8,158 10,317 Participant contributions 642,363 806,166 1,226,160 ---------- --------- --------- Total additions to net assets 883,465 1,022,640 1,947,181 Deductions from net assets attributed to: Payment of benefits 271,982 274,234 370,595 Refund to participants -- -- 47,808 ---------- --------- --------- Total deductions from net assets 271,982 274,234 418,403 Net increase 611,483 748,406 1,528,778 Net assets available for plan benefits: Beginning of year 3,169,460 3,780,943 4,529,349 ---------- --------- --------- End of year $3,780,943 4,529,349 6,058,127 ========== ========= =========
See accompanying notes to financial statements. 3 5 SPSS, INC. 401(k) PLAN Notes to Financial Statements December 31, 1995 and 1994 (1) Description of Plan The following description of the SPSS Inc. 401(k) Plan (the Plan) provides only general information. Participants should refer to the Plan document for a more complete description of the Plan's provisions. It is subject to the provisions of the Employee Retirement Income Security Act of 1974 (ERISA). General The Plan was established on November 15, 1985 to allow employees of SPSS Inc. (the Company) to contribute voluntarily to this tax deferred savings plan as allowed by Section 401(k) of the Internal Revenue Code. During 1993, the Plan was amended and restated effective January 1, 1987. Contributions Participants may contribute 1% to 15% of eligible compensation on a pretax basis within certain specified limitations. The Plan permits contributions by the Company, however, the Company decided not to make contributions during 1993, 1994 or 1995. In January of 1993, the trustees of the Plan eliminated the Fidelity Retirement Growth Fund and the Nicholas II Growth Fund as investment choices of the Plan. In addition, all of the existing GIC contracts matured during January of 1993. During January of 1994, the trustees of the Plan established the SPSS Inc. 401(k) Stock Fund as an investment choice of the Plan. This investment choice was eliminated in 1995. Effective May 1, 1995, the Company changed the plan trustee from LaSalle National Bank to Fidelity Management Trust Company. As a result, participants were asked to reallocate their funds to the following: Fidelity Managed Income Portfolio Fidelity Intermediate Bond Fund Fidelity Asset Manager Portfolio Fidelity Puritan Fund Fidelity Growth & Income Portfolio Fidelity Blue Chip Growth Fund Fidelity Contrafund Fidelity Overseas Fund (Continued) 4 6 SPSS INC. 401(k) PLAN Notes to Financial Statements During 1993, 1994 and 1995, participants' contributions by fund were as follows:
1993 1994 1995 --------- -------- -------- LaSalle Income Plus Fund $ 174,705 164,616 427,914 Investment Advisers Emerging Growth Fund 187,513 361,132 112,837 Vanguard U.S. Growth Fund 170,801 91,107 49,948 Twentieth Century Balanced Investors Fund 109,344 148,726 53,645 SPSS Inc. 401(k) Stock Fund - 40,585 23,252 Fidelity Managed Income Portfolio - - 84,363 Fidelity Intermediate Bond Fund - - 43,868 Fidelity Asset Manager Portfolio - - 22,563 Fidelity Puritan Fund - - 65,319 Fidelity Growth & Income Portfolio - - 97,378 Fidelity Blue Chip Growth Fund - - 182,123 Fidelity Contrafund - - 90,828 Fidelity Overseas Fund - - 43,972 ---------- ------- --------- 642,363 806,166 1,298,010 Less change in receivable from SPSS Inc. - - (71,850) ---------- ------- --------- Total participant contributions $ 642,363 806,166 1,226,160 ========== ======= ========= NUMBER OF PARTICIPANTS As of December 31, 1995 there were a total of 263 participants in the Plan. The number of participants under each investment program were as follows: Fidelity Managed Income Portfolio 126 Fidelity Intermediate Bond Fund 62 Fidelity Asset Manager Portfolio 39 Fidelity Puritan Fund 97 Fidelity Growth & Income Portfolio 128 Fidelity Blue Chip Growth Fund 159 Fidelity Contrafund 107 Fidelity Overseas Fund 75 Retirement Money Market 1 VESTING Participants are immediately vested in their contributions plus actual earnings thereon. PAYMENT OF BENEFITS Payment of benefits shall, in every case, be in the form of a lump sum. Each participants account is credited with contributions, interest, and dividends. (Continued)
5 7 SPSS INC. 401(k) PLAN Notes to Financial Statements LOANS TO PARTICIPANTS Loans are available to Plan participants at the prime interest rate (as published by the Wall Street Journal) plus 1%, under limited circumstances as described in the Plan. Loans to Plan participants are secured by their vested balance in the Plan, and may not exceed the lesser of 50% of their vested balance or $50,000. TERMINATION OF THE PLAN Although the Company has not expressed any intent to terminate the Plan, it may do so at any time, subject to the provisions of ERISA. (2) SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Basis of Presentation The accompanying financial statements have been prepared on the accrual basis of accounting and present the net assets available for plan benefits and the changes in those net assets. Investments Investments are maintained in independent funds which are managed by the respective funds' money managers and overseen by the Plan's trustees. Investments are carried at fair value, including accrued interest/dividends. Transactions are recorded on a trade date basis. Contributions Participants' contributions are recognized by the Plan when withheld from the participants' paychecks by the Company. (3) FEDERAL INCOME TAXES The Plan has received a favorable determination letter from the Internal Revenue Service, dated March 20, 1995, indicating that it is qualified under Section 401(a) of the Internal Revenue Code and therefore, the related trust is exempt from tax under Section 501(a) of the Internal Revenue Code. The Plan's trustees are not aware of any activity or transactions that may adversely affect the qualified status of the Plan. (4) ADMINISTRATIVE EXPENSES All administrative expenses relating to the Plan are paid by the Company. (Continued) 6 8 SPSS INC. 401(k) PLAN Notes to Financial Statements (5) FUND INFORMATION Separate fund information for the years ended December 31, 1993, 1994 and 1995 is shown below:
Net assets Loans Net assets at Participant Investment and at Jan. 1, 1993 contributions Benefits income transfers Dec. 31, 1993 ------------ ------------- -------- ---------- --------- ------------- Guaranteed Interest Contract Fund $ 982,562 -- -- 528 (983,090) -- Nicholas II Growth Fund 979,991 -- -- (6,892) (973,099) -- Fidelity Retirement Growth Fund 635,680 -- -- (3,367) (632,313) -- LaSalle Income Plus Fund 458,793 174,705 (128,333) 56,769 465,772 1,027,706 Investment Advisers Emerging Growth Fund -- 187,513 (22,563) 135,447 672,076 972,473 Vanguard U.S. Growth Fund -- 170,801 (53,236) 9,009 847,358 973,932 Twentieth Century Balanced Investors Fund -- 109,344 (67,850) 40,986 582,339 664,819 ---------- -------- -------- ------- -------- --------- Total investment funds 3,057,026 642,363 (271,982) 232,480 (20,957) 3,638,930 Participant contribution receivable 14,749 -- -- -- 7,056 21,805 Participant loans receivable 97,685 -- -- -- 22,523 120,208 ---------- -------- -------- ------- -------- --------- Net assets available for benefits as reported in the financial statements $3,169,460 642,363 (271,982) 232,480 8,622 3,780,943 ========== ======== ======== ======= ======== =========
7 (Continued) 9 SPSS INC. 401(k) PLAN Notes to Financial Statements
Net assets Loans Net assets at Participant Investment and at Jan. 1, 1994 contributions Benefits income transfers Dec. 31, 1994 ------------ ------------- -------- ---------- --------- ------------- LaSalle Income Plus Fund $1,027,706 164,616 (156,819) 55,172 180,905 1,271,580 Investment Advisers Emerging Growth Fund 972,473 361,132 (45,245) 68,879 87,921 1,445,160 Vanguard U.S. Growth Fund 973,932 91,107 (11,794) 31,301 (316,348) 768,198 Twentieth Century Balanced Investors Fund 664,819 148,726 (55,615) 7,630 (121,349) 644,211 SPSS Inc. 401(k) Stock Fund -- 40,585 (4,761) 45,334 88,264 169,422 ---------- ------- -------- ------- -------- --------- Total investment funds 3,638,930 806,166 (274,234) 208,316 (80,607) 4,298,571 Participant contributions receivable 21,805 -- -- -- 55,434 77,239 Participant loans receivable 120,208 -- -- -- 33,331 153,539 ---------- ------- -------- ------- -------- --------- Net assets available for benefits as reported in the financial statements $3,780,943 806,166 (274,234) 208,316 8,158 4,529,349 ========== ======= ======== ======= ======== =========
8 (Continued) 10 SPSS INC. 401(k) PLAN Notes to Financial Statements
Net assets at Participant Investment Jan. 1, 1995 contributions Benefits income ------------ ------------- -------- ---------- Assets: LaSalle Income Plus Fund $1,271,580 427,914 (8,526) 22,134 Investment Advisers Emerging Growth Fund 1,445,160 112,837 (6,729) 84,762 Vanguard U.S. Growth Fund 768,198 49,948 (2,761) 72,050 Twentieth Century Balanced Investors Fund 644,211 53,645 (7,038) 20,129 SPSS Inc. 401(k) Stock Fund 169,422 23,252 (369) (4,886) Fidelity Managed Income Portfolio -- 84,363 (167,299) 53,354 Fidelity Intermediate Bond Fund -- 43,868 (1,089) 17,616 Fidelity Asset Manager Portfolio -- 22,563 (857) 15,483 Fidelity Puritan Fund -- 65,319 (13,924) 49,781 Fidelity Growth & Income Portfolio -- 97,378 (13,895) 141,270 Fidelity Blue Chip Growth Fund -- 182,123 (87,895) 136,316 Fidelity Contrafund -- 90,828 (56,574) 84,153 Fidelity Overseas Fund -- 43,972 (3,639) 18,529 Retirement Money Market -- -- -- 13 ---------- ---------- -------- ------- Total investment funds 4,298,571 1,298,010 (370,595) 710,704 Participant contributions receivable 77,239 (71,850) -- -- Participant loans receivable 153,539 -- -- -- Liabilities: Accrued liabilities -- -- -- -- ---------- ---------- -------- ------- Net assets available for plan benefits as reported in the financial statements $4,529,349 1,226,160 (370,595) 710,704 ========== ========== ======== =======
Loans Refund Transfer upon Net assets and to change in at transfers participants trustee Dec. 31, 1995 --------- ------------ ------------- ------------- Assets: LaSalle Income Plus Fund (1,888) -- (1,711,214) -- Investment Advisers Emerging Growth Fund 6,085 -- (1,642,115) -- Vanguard U.S. Growth Fund 847 -- (888,282) -- Twentieth Century Balanced Investors Fund 3,441 -- (714,388) -- SPSS Inc. 401(k) Stock Fund 258 -- (187,677) -- Fidelity Managed Income Portfolio (70,578) -- 1,472,781 1,372,621 Fidelity Intermediate Bond Fund (17,840) -- 282,665 325,220 Fidelity Asset Manager Portfolio 6,759 -- 139,119 183,067 Fidelity Puritan Fund (23,838) -- 438,234 515,572 Fidelity Growth & Income Portfolio 66,467 -- 713,597 1,004,817 Fidelity Blue Chip Growth Fund 23,354 -- 1,240,282 1,494,180 Fidelity Contrafund (38,202) -- 568,538 648,743 Fidelity Overseas Fund 29,865 288,460 377,187 Retirement Money Market -- -- -- 13 ------- ------- --------- --------- Total investment funds (15,270) -- -- 5,921,420 Participant contributions receivable -- -- -- 5,389 Participant loans receivable 25,587 (11,453) -- 167,673 Liabilities: Accrued liabilities -- (36,355) -- (36,355) ------- ------- --------- --------- Net assets available for plan benefits as reported in the financial statements 10,317 (47,808) -- 6,058,127 ======= ======= ========= =========
9 11 Schedule 1 SPSS INC. 401(k) PLAN Item 27a - Schedule of Assets Held for Investment Purposes December 31, 1995
Fair Description Cost value ---------- --------- Fidelity Managed Income Portfolio $1,372,621 1,372,621 Fidelity Intermediate Bond Fund 319,491 325,220 Fidelity Asset Manager Portfolio 171,702 183,067 Fidelity Puritan Fund 491,242 515,572 Fidelity Growth & Income Portfolio 912,386 1,004,817 Fidelity Blue Chip Growth Fund 1,485,973 1,494,180 Fidelity Contrafund 627,709 648,743 Fidelity Overseas Fund 369,341 377,187 Retirement Money Market -- 13 ---------- --------- Total investments 5,750,465 5,921,420 Participant loans (7% to 11.5%) 167,673 167,673 ---------- --------- Total assets held for investment $5,918,138 6,089,093 ========== =========
See accompanying independent auditors' report. 10 12 Schedule 2 SPSS INC. 401(k) PLAN Item 27d - 5% Reportable Transaction Year ended December 31, 1995
EXPENSES INCURRED W/ TRADES PURCHASE SELLING -------------------------- DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL ----------------------- -------- ------- -------- ------ ----- SPSS INC. 401K TRUST - SPSS STOCK SPSS INCORPORATED COMMON STOCK 186,874.50 # OF TRADES 2 LASALLE NATIONAL TRUST, N.A. STIF-E 192,533.00 192,553.00 SHORT TERM INVESTMENT FUND # OF TRADES 6 3 SPSS INC. 401K TRUST - 20TH CENTURY BAL. INVEST TWENTIETH CENTURY INVESTORS, INC 21,320.49 659,595.76 BALANCED INVESTORS SHARES # OF TRADES 5 6 LASALLE NATIONAL TRUST, N.A. STIF-E 671,829.00 671,827.00 SHORT TERM INVESTMENT FUND # OF TRADES 14 10 SPSS INC. 401K TRUST - INV. ADV. EMERGING GROWTH IAI EMERGING GROWTH FUND 587.09 1,410,682.18 SHARES OF BENEFICIAL INTEREST # OF TRADES 2 6 LASALLE NATIONAL TRUST, N.A. STIF-E 1,441,697.00 1,447,936.00 SHORT TERM INVESTMENT FUND # OF TRADES 15 11
COST OF CURRENT NET GAIN DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS ----------------------- -------- --------- --------- SPSS INC. 401K TRUST - SPSS STOCK SPSS INCORPORATED COMMON STOCK 124,583.00 186,874.50 62,291.50 # OF TRADES 2 LASALLE NATIONAL TRUST, N.A. STIF-E 192,553.00 385,106.00 SHORT TERM INVESTMENT FUND # OF TRADES 9 SPSS INC. 401K TRUST - 20TH CENTURY BAL. INVEST TWENTIETH CENTURY INVESTORS, INC 646,304.87 680,916.25 13,290.89 BALANCED INVESTORS SHARES # OF TRADES 11 LASALLE NATIONAL TRUST, N.A. STIF-E 671,827.00 1,343,656.00 SHORT TERM INVESTMENT FUND # OF TRADES 24 SPSS INC. 401K TRUST - INV. ADV. EMERGING GROWTH IAI EMERGING GROWTH FUND 1,301,007.95 1,411,269.27 109,674.23 SHARES OF BENEFICIAL INTEREST # OF TRADES 8 LASALLE NATIONAL TRUST, N.A. STIF-E 1,447,936.00 2,889,633.00 SHORT TERM INVESTMENT FUND # OF TRADES 26
See accompanying independent auditors' report 11 13 Schedule 2 SPSS INC. 401(k) PLAN Item 27d - 5% Reportable Transaction, Continued
PURCHASE SELLING -------------------------- DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL ----------------------- -------- ------- -------- ------ ----- SPSS INC. 401K TRUST - VANGUARD U.S. GROWTH VANGUARD WORLD FUND 72,227.02 854,633.80 U S GROWTH PORTFOLIO # OF TRADES 4 6 LASALLE NATIONAL TRUST, N.A. STIF-E 869,752.00 935,133.00 SHORT TERM INVESTMENT FUND # OF TRADES 13 12 SPSS INC. 401K TRUST - LOAN FUND LASALLE NATIONAL TRUST, N.A. STIF-E 64,440.00 78,237.00 SHORT TERM INVESTMENT FUND # OF TRADES 11 4 SPSS INC. 401K TRUST - INCOME PLUS LASALLE NATIONAL TRUST, N.A. STIF-E 1,930,641.00 1,930,627.00 SHORT TERM INVESTMENT FUND # OF TRADES 16 9 LASALLE NATIONAL TRUST, N.A. 356,760.20 1,578,083.22 POOLED TRUST FUND FOR EMPLOYEE BENEFIT PLANS INCOME PLUS FUND # OF TRADES 7 6
COST OF CURRENT NET GAIN DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS ----------------------- -------- --------- --------- SPSS INC. 401K TRUST - VANGUARD U.S. GROWTH VANGUARD WORLD FUND 753,264.50 926,860.82 101,369.30 U S GROWTH PORTFOLIO # OF TRADES 10 LASALLE NATIONAL TRUST, N.A. STIF-E 935,133.00 1,804,885.00 SHORT TERM INVESTMENT FUND # OF TRADES 25 SPSS INC. 401K TRUST - LOAN FUND LASALLE NATIONAL TRUST, N.A. STIF-E 78,237.00 142,677.00 SHORT TERM INVESTMENT FUND # OF TRADES 15 SPSS INC. 401K TRUST - INCOME PLUS LASALLE NATIONAL TRUST, N.A. STIF-E 1,930,627.00 3,861,268.00 SHORT TERM INVESTMENT FUND # OF TRADES 25 LASALLE NATIONAL TRUST, N.A. 1,578,083.22 1,934,843.42 POOLED TRUST FUND FOR EMPLOYEE BENEFIT PLANS INCOME PLUS FUND # OF TRADES 13
See accompanying independent auditors' report 12 14 Schedule 2 SPSS INC. 401(k) PLAN Item 27d - 5% Reportable Transaction, Continued
EXPENSES INCURRED W/ TRADES PURCHASE SELLING -------------------------- DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL ----------------------- -------- ------- -------- ------ ----- SPSS INC. 401K TRUST - PURITAN FIDELITY PURITAN FUND 592,872.97 103,784.68 # OF TRADES 41 13 SPSS INC. 401K TRUST - CONTRA FUND FIDELITY CONTRA FUND 794,217.19 175,341.08 # OF TRADES 40 8 SPSS INC. 401K TRUST - GROWTH & INCOME FIDELITY GROWTH & INCOME FUND 1,009,913.71 101,417.28 # OF TRADES 45 13 SPSS INC. 401K TRUST - INTERMEDIATE BOND FIDELITY INTERMEDIATE BOND FUND 342,076.33 22,703.57 # OF TRADES 38 6 SPSS INC. 401K TRUST - OVERSEAS FIDELITY OVERSEAS FUND 373,667.30 4,419.56 # OF TRADES 36 5
COST OF CURRENT NET GAIN DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS ----------------------- -------- --------- --------- SPSS INC. 401K TRUST - PURITAN FIDELITY PURITAN FUND 101,631.43 696,657.65 2,153.25 # OF TRADES 54 SPSS INC. 401K TRUST - CONTRA FUND FIDELITY CONTRA FUND 166,508.33 969,558.27 8,832.75 # OF TRADES 48 SPSS INC. 401K TRUST - GROWTH & INCOME FIDELITY GROWTH & INCOME FUND 97,527.49 1,111,330.99 3,889.79 # OF TRADES 58 SPSS INC. 401K TRUST - INTERMEDIATE BOND FIDELITY INTERMEDIATE BOND FUND 22,585.08 364,779.90 118.49 # OF TRADES 44 SPSS INC. 401K TRUST - OVERSEAS FIDELITY OVERSEAS FUND 4,326.62 378,086.86 92.94 # OF TRADES 41
See accompanying independent auditors' report 13 15 Schedule 2 SPSS INC. 401(k) PLAN Item 27d - 5% Reportable Transaction
EXPENSES INCURRED W/ TRADES PURCHASE SELLING -------------------------- DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL ----------------------- -------- ------- -------- ------ ----- SPSS INC. 401K TRUST - BLUE CHIP FIDELITY BLUE CHIP FUND 1,603,241.65 121,150.51 # OF TRADES 46 13 SPSS INC. 401K TRUST - MANAGED INCOME PORT. FIDELITY - MANAGED INCOME PORTFOLIO 1,620,148.83 247,528.04 # OF TRADES / % OF BEGINNING VALUE 43 20
COST OF CURRENT NET GAIN DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS ----------------------- -------- --------- --------- SPSS INC. 401K TRUST - BLUE CHIP FIDELITY BLUE CHIP FUND 121,150.51 1,724,392.16 3,882.31 # OF TRADES 59 SPSS INC. 401K TRUST - MANAGED INCOME PORT. FIDELITY - MANAGED INCOME PORTFOLIO 247,528.04 1,867,676.87 -- # OF TRADES / % OF BEGINNING VALUE 63
See accompanying independent auditors' report 14 16 SIGNATURE The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the Plan's trustees have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized. SPSS Inc. 401(k) Plan August 2, 1996 By: /s/ Theresa Dear --------------------------- Theresa Dear Plan Trustee 15 17 EXHIBIT INDEX Exhibit Number Document Description - ------- -------------------------------------------------------------- 23.1 Consent of Independent Certified Public Accountants 99 SPSS Inc. 401(k) Plan, incorporated by reference to Exhibit 99 of the Plan's Form 11-K as of December 31, 1994 16 EX-23.1 2 CONSENT OF INDEPENDENT CERT PUBLIC ACCOUNTANTS 1 EXHIBIT 23.1 CONSENT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS The Plan's Trustees SPSS Inc. 401(k) Plan: We consent to incorporation by reference in the Registration Statements on Form S-8 of SPSS Inc. of our report dated August 2, 1996, relating to the statements of net assets available for plan benefits of the SPSS Inc. 401(k) Plan as of December 31, 1994 and 1995, and the related statements of changes in net assets available for plan benefits for each of the years in the three-year period ended December 31, 1995, which report appears in the December 31, 1995 report on Form 11-K of the SPSS Inc. 401(k) Plan. KPMG Peat Marwick LLP Chicago, Illinois August 12, 1996 17 -----END PRIVACY-ENHANCED MESSAGE-----