UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
March 2, 2006
Date of Report (date of earliest event reported)
ADVENT SOFTWARE, INC.
(Exact name of registrant as specified in its charter)
State of Delaware | | 0-26994 | | 94-2901952 |
(State or other jurisdiction of
incorporation or organization) | | (Commission File Number) | | (I.R.S. Employer
Identification Number) |
301 Brannan Street
San Francisco, California 94107
(Address of principal executive offices)
(415) 543-7696
(Registrant’s telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
TABLE OF CONTENTS
Item 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics
On March 2, 2006, the Board of Directors of Advent Software, Inc. (the “Company”) approved amendments to the Company’s Code of Business Ethics and Conduct (the “Code”), which applies to all employees, officers and directors of the Company. The revisions consist of a number of technical and non-substantive amendments to clarify certain sections of the Code. None of these amendments to the Code constituted or effected a waiver of application of any provision of the Code to the Company’s principal executive officer, principal financial and accounting officer, or person performing similar functions.
The amended Code is available at http://phx.corporate-ir.net/phoenix.zhtml?c=96626&p=irol-govConduct. A copy of the Code is also attached hereto as Exhibit 14.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
The following items are filed as exhibits to this report:
14.1 Code of Business Ethics and Conduct of Advent Software, Inc., amended March 2, 2006.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| ADVENT SOFTWARE, INC. |
| |
| |
| By: | | /s/ Graham V. Smith | |
| | | Graham V. Smith
Executive Vice President,
Chief Financial Officer and Secretary
(Principal Financial and Accounting Officer) |
Dated: March 8, 2006
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