FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
SPSS INC [ spss ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 08/18/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 08/19/2003 |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, $.01 par value | 08/18/2003(1) | M | 5,000 | A | $8 | 14,024(2)(3) | D | |||
Common Stock, $.01 par value | 08/18/2003(1) | F | 2,187 | D | $18.29 | 11,837(2) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option | $8 | 08/18/2003 | M | 5,000 | 08/18/1993 | 08/18/2003 | Common Stock | 5,000 | (4) | 0 | D | ||||
Employee Stock Option | $18.29 | 08/18/2003 | A | 2,812 | 08/18/2003(5) | 08/17/2013 | Common Stock | 2,812 | (4) | 2,812 | D |
Explanation of Responses: |
1. On August 19, 2003, the reporting person mistakenly filed a Form 4 stating that the reported transactions occurred on August 8, 2003. This transaction date was a typographical error. The reporting person did not engage in a transaction on August 8, 2003. Instead, the transaction took place on August 18, 2003. |
2. The shares listed in this column represent (a) the right to acquire shares of stock upon the exercise of an Employee Stock Option and (b) the subsequent forfeiture of the right to receive such shares upon exercise for the purpose of paying the exercise price of the Employee Stock Option. This acquisition and forfeiture are treated as a purchase and sale for purposes of Section 16(a) of the Securities Exchange Act of 1934. |
3. Since the date of the Reporting Person's last ownership report, he transferred 58,346 shares of SPSS common stock pursuant to a domestic relations order. |
4. The Employee Stock Option was granted to the Reporting Person, and was not sold to the Reporting Person. As such, the Reporting Person did not pay any consideration for the Employee Stock Option. |
5. These options vest immediately upon the date of grant. |
Remarks: |
On August 19, 2003, the reporting person mistakenly filed a Form 4 stating that the reported transactions occurred on August 8, 2003. This transaction date was a typographical error. The reporting person did not engage in a transaction on August 8, 2003. Instead, the transactions took place on August 18, 2003. |
/s/ Robert Brinkmann, pursuant to Power of Attorney filed with the Securities and Exchange Commission on January 6, 2003 | 08/19/2003 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |