-----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, ClxoMg7yqE4eDFD7Dja3DrnLF9iPWOH1pfFLdfxOZbnBCZrirxjORK8hZEiTN1cv aU2CxQKmkdjYgAjY9MeoBg== 0000897917-97-000001.txt : 19970115 0000897917-97-000001.hdr.sgml : 19970115 ACCESSION NUMBER: 0000897917-97-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970114 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROGRESS SOFTWARE CORP /MA CENTRAL INDEX KEY: 0000876167 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042746201 STATE OF INCORPORATION: MA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 033-41752 FILM NUMBER: 97505233 BUSINESS ADDRESS: STREET 1: 14 OAK PARK CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 6172804000 COMPANY DATA: COMPANY CONFORMED NAME: ALSOP JOSEPH WRIGHT CENTRAL INDEX KEY: 0000897917 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 14 OAK PARK CITY: BEDFORD STATE: MA ZIP: 07130 BUSINESS PHONE: 6172804000 MAIL ADDRESS: STREET 1: 14 OAK PARK CITY: BEDFORD STATE: MA ZIP: 07130 5 1 FORM 5 - JANUARY 1996 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported (X) Form 4 Transactions Reported 1. Name and Address of Reporting Person Alsop, Joseph Wright 14 Oak Park Bedford, MA 01730 USA 2. Issuer Name and Ticker or Trading Symbol Progress Software Corporation PRGS 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year January 1996 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President and Treasurer 7. Individual or Joint/Group Reporting (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 |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |1/15/9|M4 |22,764 |A |$5.00 | |D | | |6 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1/15/9|M4 |1,571 |A |$5.00 | |D | | |6 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1/15/9|M4 |26,665 |A |$5.00 | |D | | |6 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1/15/9|J4(1|1,571 |D | | | | | |6 |) | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/16/9|G(2)|6,557 |D | |702,872 |D | | |6 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/16/9|G(2)|6,557(3) |A | |6,557 |I(4) |By wife | |6 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Incentive Stock Option |$5.00 |1/15/|M |22,764 |D |1/24/|1/24/|Common Stock|22,764 | | |D | | | |96 | | | |91 |96 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Incentive Stock Option |$5.00 |1/15/|M |1,571 |D |1/24/|1/24/|Common Stock|1,571 | | |D | | | |96 | | | |91 |96 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Incentive Stock Option |$5.00 |1/15/|M |26,665 |D |1/24/|1/24/|Common Stock|26,665 | |405,200(5) |D | | | |96 | | | |91 |96 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) The reporting person transferred 1,571 shares of Common Stock to his ex-wife pursuant to a domestic relations order. (2) Gift by reporting person to his wife. (3) This gift of 6,557 shares of Common Stock was included as part of a gift of 28,827 shares of Common Stock to several family members of the reporting person reported on the reporting person's Form 4 for May 1996. (4) The reporting person disclaims beneficial ownership of these shares. (5) At November 30, 1996, options to purchase 216,395 shares of Common Stock were exercisable. SIGNATURE OF REPORTING PERSON Joseph W. Alsop -----END PRIVACY-ENHANCED MESSAGE-----