SEC Form 4
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
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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*
HOLEC KEN

(Last) (First) (Middle)
18434 BEARPATH TRAIL

(Street)
EDEN PRAIRIE MN 55347

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SPSS INC [ SPSS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/02/2005
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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, $0.01 par value 11/02/2005 M(1) 10,000 A $18.25 45,364 D
Common Stock, $0.01 par value 11/02/2005 M(1) 10,000 A $19.09 55,364 D
Common Stock, $0.01 par value 11/02/2005 M(1) 7,500 A $16 62,864 D
Common Stock, $0.01 par value 11/02/2005 M(1) 7,500 A $14.599 70,364 D
Common Stock, $0.01 par value 11/02/2005 M(1) 46,000 A $11 116,364 D
Common Stock, $0.01 par value 11/02/2005 M(1) 5,000 A $15.48 121,364 D
Common Stock, $0.01 par value 11/02/2005 M(1) 5,000 A $18.08 126,364 D
Common Stock, $0.01 par value 11/02/2005 M(1) 5,000 A $19 131,364 D
Common Stock, $0.01 par value 11/02/2005 S(1) 95,900 D $25.5 35,464 D
Common Stock, $0.01 par value 11/02/2005 S(1) 100 D $25.56 35,364 D
Common Stock, $0.01 par value 10,500(2) I By Children
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 $18.25 11/02/2005(1) M 10,000 03/20/2002(3) 03/19/2011 Common Stock 10,000 (4) 0 D
Employee Stock Option $19.09 11/02/2005(1) M 10,000 01/02/2002(5) 01/01/2012 Common Stock 10,000 (4) 0 D
Employee Stock Option $16 11/02/2005(1) M 7,500 06/01/2002(5) 05/31/2012 Common Stock 7,500 (4) 0 D
Employee Stock Option $14.599 11/02/2005(1) M 7,500 01/02/2003(5) 01/01/2013 Common Stock 7,500 (4) 0 D
Employee Stock Option $11 11/02/2005(1) M 46,000 02/24/2003(5) 02/23/2013 Common Stock 46,000 (4) 0 D
Employee Stock Option $15.48 11/02/2005(1) M 5,000 07/01/2003(5) 06/30/2013 Common Stock 5,000 (4) 0 D
Employee Stock Option $18.08 11/02/2005(1) M 5,000 07/01/2004(5) 06/30/2014 Common Stock 5,000 (4) 0 D
Employee Stock Option $19 11/02/2005(1) M 5,000 07/01/2005(5) 06/30/2015 Common Stock 5,000 (4) 0 D
Explanation of Responses:
1. The transactions reported on this Form 4 were effected on November 2, 2005 pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
2. The reporting person's share ownership includes 3,500 shares registered in the name of each of his three children.
3. These options were subject to a four-year vesting schedule, under which 25% of the total options became exercisable on the first anniversary of the applicable vesting commencement date, an additional 2.09% became exercisable at the conculsion of each month of the second, third and fourth years following the vesting commencement date other than the final month of the fourth year, and an additional 1.85% became exercisable at the conclusion of the final month of the fourth year following the vesting commencement date.
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 vested immediately upon the date of grant.
Remarks:
/s/ Kenneth H. Holec 11/03/2005
** 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.
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