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FORM 4 OMB APPROVAL
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[ ] CHECK THIS BOX IF NO OMB Number: 3235-0287
LONGER SUBJECT TO Expires: April 30, 1997
SECTION 16. FORM 4 Estimated average burden
OR FORM 5 OBLIGATIONS hours per response.... 0.5
MAY CONTINUE. SEE --------------------------
INSTRUCTION 1(b).
U.S. 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,
Section 17(a) of the Public Utility Holding Company Act of 1935
or Section 30(f) of the Investment Company Act of 1940
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<S> <C> <C> <C> <C> <C> <C>
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1. Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person
Gardner, Richard P. BMC Software, Inc. (BMCS) to Issuer (Check all applicable)
- --------------------------------------------- ---------------------------------------------- Director 10% Owner
(Last) (First) (Middle) 3. IRS or Social 4. Statement for ---- ---
Security Number Month/Year X Officer (give Other (Specify
2101 City West Blvd. of Reporting Person October 1999 ---- title --- below)
- --------------------------------------------- (Voluntary) ------------------- below)
(Street) 5. If Amendment,
Houston TX 77042 ###-##-#### Date of Original Senior Vice President,
- --------------------------------------------- -------------------- (Month/Year) Field Operations
(City) (State) (Zip) ------------------------------------
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TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature
(Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In-
Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct
(Instr. 8) End of Month Direct Benefi-
(Month/ (Instr. 3 and 4) (D) or cial
Day/ ------------------------------------ Indirect Owner-
Year) Code V Amount (A) or Price (I) ship
(D) (Instr. 4) (Instr. 4)
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Common Stock 10/29/99 S 60,000 D $64.2740
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Common Stock 10/29/99 M 60,000 A $ 5.53
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Common Stock 10/29/99 M 50,000 A $ 5.53 170,000 D
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
(Print or Type Responses) SEC 1474 (3-99)
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
<S> <C> <C> <C> <C> <C> <C> <C>
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1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price
Security sion or action action Derivative cisable and of Underlying of
(Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv-
Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative
Deriv- Day/ Disposed of (D) (Month/Day/ Secur-
ative Year) (Instr. 3, 4, Year) ity
Security and 5) (Instr. 5)
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Date Expira- Amount or
-------------------------- Exer- tion Title Number of
Code V (A) (D) cisable Date Shares
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Employee Stock Option $5.53 10/29/99 M 60,000 * 11/01/04 COMMON 60,000
(Right to Buy) STOCK
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<C> <C> <C>
9. Number of 10. Ownership 11. Nature of
Derivative Form of Indirect
Securities Derivative Beneficial
Beneficially Security: Ownership
Owned at End Direct (D) (Instr. 4)
of Month or Indirect (I)
(Instr. 4) (Instr. 4)
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341,200 D
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Explanation of Responses:
*Option vests in 20% increments annually each November 1 following 11/1/94, with
the final 20% vesting 11/1/99.
/s/ RICHARD P. GARDNER 11/10/99
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. ------------------------------- --------
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date
Note: File three copies of this Form, one of which must be manually signed. Page 2
If space is insufficient, see Instruction 6 for procedure. SEC 1474 (3-99)
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