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Previous: ENTERGY POWER INC, 35-CERT, 1996-08-16 |
Next: PUTNAM INTERMEDIATE US GOVT INCOME FUND, PRE 14A, 1996-08-16 |
<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 11-K
[X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF
1934 [FEE REQUIRED]
For the year ended December 31, 1995
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT
OF 1934 [NO FEE REQUIRED]
For the transition period from to
-------------------- --------------------
Commission file number 33-64732
-------------------------------------------------------
SPSS Inc. 401(k) Plan
444 North Michigan Avenue, Chicago, Illinois 60611
Registrant's telephone number including area code: (312) 329-2400
(Name and Address of Issuer)
SPSS Inc.
444 North Michigan Avenue, Chicago, Illinois 60611
This document consists of pages. The Exhibit Index begins on page .
------ ------
<PAGE> 2
Independent Auditors' Report
The Plan's Trustees
SPSS Inc. 401(k) Plan:
We have audited the accompanying statements of net assets available for plan
benefits of the SPSS Inc. 401(k) Plan (the Plan) as of December 31, 1994 and
1995, and the related statements of changes in net assets available for plan
benefits for each of the years in the three-year period ended December 31,
1995. These financial statements are the responsibility of the Plan's
management. Our responsibility is to express an opinion on these financial
statements based on our audits.
We conducted our audits in accordance with generally accepted auditing
standards. Those standards require that we plan and perform the audit to
obtain reasonable assurance about whether the financial statements are free of
material misstatement. An audit includes examining, on a test basis, evidence
supporting the amounts and disclosures in the financial statements. An audit
also includes assessing the accounting principles used and significant
estimates made by management, as well as evaluating the overall financial
statement presentation. We believe that our audits provide a reasonable basis
for our opinion.
In our opinion, the financial statements referred to above present fairly, in
all material respects, the net assets available for plan benefits as of
December 31, 1994 and 1995, and the changes in net assets available for plan
benefits for each of the years in the three-year period ended December 31, 1995
in conformity with generally accepted accounting principles.
Our audits were performed for the purpose of forming an opinion on the basic
financial statements taken as a whole. The supplemental information included
in Schedules 1 and 2 is presented for the purpose of additional analysis and is
not required as part of the basic financial statements, but is supplementary
information required by the Department of Labor's Rules and Regulations for
Reporting and Disclosure under the Employee Retirement Income Security Act of
1974. The fund information included in note 5 to the financial statements is
presented for purposes of additional analysis rather than to present the net
assets available for plan benefits and changes in the net assets available for
plan benefits of each fund. The supplemental schedules and fund information
have been subjected to the auditing procedures applied in the audits of the
basic financial statements and, in our opinion, are fairly stated in all
material respects in relation to the basic financial statements taken as a
whole.
KPMG Peat Marwick LLP
August 2, 1996
1
<PAGE> 3
SPSS INC. 401(k) PLAN
Statements of Net Assets Available for Plan Benefits
December 31, 1994 and 1995
<TABLE>
<CAPTION>
1994 1995
---------- ---------
<S> <C> <C>
Assets:
Investments, at fair value:
LaSalle Income Plus Fund $1,271,580 --
Investment Advisers Emerging Growth Fund 1,445,160 --
Vanguard U.S. Growth Fund 768,198 --
Twentieth Century Balanced Investors Fund 644,211 --
SPSS Inc. 401(k) Stock Fund 169,422 --
Fidelity Managed Income Portfolio -- 1,372,621
Fidelity Intermediate Bond Fund -- 325,220
Fidelity Asset Manager Portfolio -- 183,067
Fidelity Puritan Fund -- 515,572
Fidelity Growth and Income Portfolio -- 1,004,817
Fidelity Blue Chip Growth Fund -- 1,494,180
Fidelity Contrafund -- 648,743
Fidelity Overseas Fund -- 377,187
Retirement Money Market -- 13
---------- ---------
Total investments 4,298,571 5,921,420
Participant contributions receivable from SPSS Inc. 77,239 5,389
Participant loans receivable 153,539 167,673
---------- ---------
Total Assets 4,529,349 6,094,482
Liabilities:
Accrued liabilities -- 36,355
---------- ---------
Total Liabilities -- 36,355
Net assets available for plan benefits $4,529,349 6,058,127
========== =========
</TABLE>
See accompanying notes to financial statements.
2
<PAGE> 4
SPSS INC. 401(k) PLAN
Statements of Changes in Net Assets Available for Plan Benefits
Years ended December 31, 1993, 1994 and 1995
<TABLE>
<CAPTION>
1993 1994 1995
---------- -------- --------
<S> <C> <C> <C>
Additions to net assets attributed to:
Investment income:
Guaranteed Interest Contract Fund (GIC) - interest $ 528 -- --
Nicholas II Growth Fund # net change in fair value (6,892) -- --
Fidelity Retirement Growth Fund -
net change in fair value (3,367) -- --
LaSalle Income Plus Fund - interest 56,769 55,172 22,134
Investment Advisers Emerging Growth Fund -
net change in fair value 135,447 68,879 84,762
Vanguard U.S. Growth Fund - net change
in fair value 9,009 31,301 72,050
Twentieth Century Balanced Investors Fund -
net change in fair value 40,986 7,630 20,129
SPSS Inc. 401(k) Stock Fund - net change
in fair value -- 45,334 (4,886)
Fidelity Managed Income Portfolio - net change in
fair value -- -- 53,354
Fidelity Intermediate Bond Fund - net change in
fair value -- -- 17,616
Fidelity Asset Manager Portfolio - net change in
fair value -- -- 15,483
Fidelity Puritan Fund - net change in fair value -- -- 49,781
Fidelity Growth and Income Portfolio - net change
in fair value -- -- 141,270
Fidelity Blue Chip Growth Fund - net change in
fair value -- -- 136,316
Fidelity Contrafund - net change in fair value -- -- 84,153
Fidelity Overseas Fund - net change in fair value -- -- 18,529
Retirement Money Market - net change in fair value -- -- 13
---------- --------- ---------
Total investment income 232,480 208,316 710,704
Participant loans, net 8,622 8,158 10,317
Participant contributions 642,363 806,166 1,226,160
---------- --------- ---------
Total additions to net assets 883,465 1,022,640 1,947,181
Deductions from net assets attributed to:
Payment of benefits 271,982 274,234 370,595
Refund to participants -- -- 47,808
---------- --------- ---------
Total deductions from net assets 271,982 274,234 418,403
Net increase 611,483 748,406 1,528,778
Net assets available for plan benefits:
Beginning of year 3,169,460 3,780,943 4,529,349
---------- --------- ---------
End of year $3,780,943 4,529,349 6,058,127
========== ========= =========
</TABLE>
See accompanying notes to financial statements.
3
<PAGE> 5
SPSS, INC. 401(k) PLAN
Notes to Financial Statements
December 31, 1995 and 1994
(1) Description of Plan
The following description of the SPSS Inc. 401(k) Plan (the Plan) provides
only general information. Participants should refer to the Plan document for a
more complete description of the Plan's provisions. It is subject to the
provisions of the Employee Retirement Income Security Act of 1974 (ERISA).
General
The Plan was established on November 15, 1985 to allow employees of SPSS
Inc. (the Company) to contribute voluntarily to this tax deferred savings plan
as allowed by Section 401(k) of the Internal Revenue Code. During 1993, the
Plan was amended and restated effective January 1, 1987.
Contributions
Participants may contribute 1% to 15% of eligible compensation on a pretax
basis within certain specified limitations. The Plan permits contributions by
the Company, however, the Company decided not to make contributions during
1993, 1994 or 1995. In January of 1993, the trustees of the Plan eliminated
the Fidelity Retirement Growth Fund and the Nicholas II Growth Fund as
investment choices of the Plan. In addition, all of the existing GIC contracts
matured during January of 1993. During January of 1994, the trustees of the
Plan established the SPSS Inc. 401(k) Stock Fund as an investment choice of the
Plan. This investment choice was eliminated in 1995. Effective May 1, 1995,
the Company changed the plan trustee from LaSalle National Bank to Fidelity
Management Trust Company. As a result, participants were asked to reallocate
their funds to the following:
Fidelity Managed Income Portfolio
Fidelity Intermediate Bond Fund
Fidelity Asset Manager Portfolio
Fidelity Puritan Fund
Fidelity Growth & Income Portfolio
Fidelity Blue Chip Growth Fund
Fidelity Contrafund
Fidelity Overseas Fund
(Continued)
4
<PAGE> 6
SPSS INC. 401(k) PLAN
Notes to Financial Statements
During 1993, 1994 and 1995, participants' contributions by fund were as
follows:
<TABLE>
<CAPTION>
1993 1994 1995
--------- -------- --------
<S> <C> <C> <C>
LaSalle Income Plus Fund $ 174,705 164,616 427,914
Investment Advisers Emerging Growth Fund 187,513 361,132 112,837
Vanguard U.S. Growth Fund 170,801 91,107 49,948
Twentieth Century Balanced Investors Fund 109,344 148,726 53,645
SPSS Inc. 401(k) Stock Fund - 40,585 23,252
Fidelity Managed Income Portfolio - - 84,363
Fidelity Intermediate Bond Fund - - 43,868
Fidelity Asset Manager Portfolio - - 22,563
Fidelity Puritan Fund - - 65,319
Fidelity Growth & Income Portfolio - - 97,378
Fidelity Blue Chip Growth Fund - - 182,123
Fidelity Contrafund - - 90,828
Fidelity Overseas Fund - - 43,972
---------- ------- ---------
642,363 806,166 1,298,010
Less change in receivable from SPSS Inc. - - (71,850)
---------- ------- ---------
Total participant contributions $ 642,363 806,166 1,226,160
========== ======= =========
NUMBER OF PARTICIPANTS
As of December 31, 1995 there were a total of 263 participants in the Plan.
The number of participants under each investment program were as follows:
<S> <C>
Fidelity Managed Income Portfolio 126
Fidelity Intermediate Bond Fund 62
Fidelity Asset Manager Portfolio 39
Fidelity Puritan Fund 97
Fidelity Growth & Income Portfolio 128
Fidelity Blue Chip Growth Fund 159
Fidelity Contrafund 107
Fidelity Overseas Fund 75
Retirement Money Market 1
VESTING
Participants are immediately vested in their contributions plus actual earnings
thereon.
PAYMENT OF BENEFITS
Payment of benefits shall, in every case, be in the form of a lump sum. Each
participants account is credited with contributions, interest, and dividends.
(Continued)
</TABLE>
5
<PAGE> 7
SPSS INC. 401(k) PLAN
Notes to Financial Statements
LOANS TO PARTICIPANTS
Loans are available to Plan participants at the prime interest rate (as
published by the Wall Street Journal) plus 1%, under limited circumstances
as described in the Plan. Loans to Plan participants are secured by their
vested balance in the Plan, and may not exceed the lesser of 50% of their
vested balance or $50,000.
TERMINATION OF THE PLAN
Although the Company has not expressed any intent to terminate the Plan,
it may do so at any time, subject to the provisions of ERISA.
(2) SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Basis of Presentation
The accompanying financial statements have been prepared on the accrual
basis of accounting and present the net assets available for plan benefits
and the changes in those net assets.
Investments
Investments are maintained in independent funds which are managed by the
respective funds' money managers and overseen by the Plan's trustees.
Investments are carried at fair value, including accrued
interest/dividends. Transactions are recorded on a trade date basis.
Contributions
Participants' contributions are recognized by the Plan when withheld from
the participants' paychecks by the Company.
(3) FEDERAL INCOME TAXES
The Plan has received a favorable determination letter from the Internal
Revenue Service, dated March 20, 1995, indicating that it is qualified
under Section 401(a) of the Internal Revenue Code and therefore, the
related trust is exempt from tax under Section 501(a) of the Internal
Revenue Code. The Plan's trustees are not aware of any activity or
transactions that may adversely affect the qualified status of the Plan.
(4) ADMINISTRATIVE EXPENSES
All administrative expenses relating to the Plan are paid by the Company.
(Continued)
6
<PAGE> 8
SPSS INC. 401(k) PLAN
Notes to Financial Statements
(5) FUND INFORMATION
Separate fund information for the years ended December 31, 1993, 1994 and
1995 is shown below:
<TABLE>
<CAPTION>
Net assets Loans Net assets
at Participant Investment and at
Jan. 1, 1993 contributions Benefits income transfers Dec. 31, 1993
------------ ------------- -------- ---------- --------- -------------
<S> <C> <C> <C> <C> <C> <C>
Guaranteed Interest Contract Fund $ 982,562 -- -- 528 (983,090) --
Nicholas II Growth Fund 979,991 -- -- (6,892) (973,099) --
Fidelity Retirement Growth Fund 635,680 -- -- (3,367) (632,313) --
LaSalle Income Plus Fund 458,793 174,705 (128,333) 56,769 465,772 1,027,706
Investment Advisers Emerging Growth Fund -- 187,513 (22,563) 135,447 672,076 972,473
Vanguard U.S. Growth Fund -- 170,801 (53,236) 9,009 847,358 973,932
Twentieth Century Balanced Investors Fund -- 109,344 (67,850) 40,986 582,339 664,819
---------- -------- -------- ------- -------- ---------
Total investment funds 3,057,026 642,363 (271,982) 232,480 (20,957) 3,638,930
Participant contribution receivable 14,749 -- -- -- 7,056 21,805
Participant loans receivable 97,685 -- -- -- 22,523 120,208
---------- -------- -------- ------- -------- ---------
Net assets available for benefits as
reported in the financial statements $3,169,460 642,363 (271,982) 232,480 8,622 3,780,943
========== ======== ======== ======= ======== =========
</TABLE>
7
(Continued)
<PAGE> 9
SPSS INC. 401(k) PLAN
Notes to Financial Statements
<TABLE>
<CAPTION>
Net assets Loans Net assets
at Participant Investment and at
Jan. 1, 1994 contributions Benefits income transfers Dec. 31, 1994
------------ ------------- -------- ---------- --------- -------------
<S> <C> <C> <C> <C> <C> <C>
LaSalle Income Plus Fund $1,027,706 164,616 (156,819) 55,172 180,905 1,271,580
Investment Advisers Emerging
Growth Fund 972,473 361,132 (45,245) 68,879 87,921 1,445,160
Vanguard U.S. Growth Fund 973,932 91,107 (11,794) 31,301 (316,348) 768,198
Twentieth Century Balanced Investors Fund 664,819 148,726 (55,615) 7,630 (121,349) 644,211
SPSS Inc. 401(k) Stock Fund -- 40,585 (4,761) 45,334 88,264 169,422
---------- ------- -------- ------- -------- ---------
Total investment funds 3,638,930 806,166 (274,234) 208,316 (80,607) 4,298,571
Participant contributions receivable 21,805 -- -- -- 55,434 77,239
Participant loans receivable 120,208 -- -- -- 33,331 153,539
---------- ------- -------- ------- -------- ---------
Net assets available for benefits as
reported in the financial statements $3,780,943 806,166 (274,234) 208,316 8,158 4,529,349
========== ======= ======== ======= ======== =========
</TABLE>
8
(Continued)
<PAGE> 10
SPSS INC. 401(k) PLAN
Notes to Financial Statements
<TABLE>
<CAPTION>
Net assets
at Participant Investment
Jan. 1, 1995 contributions Benefits income
------------ ------------- -------- ----------
<S> <C> <C> <C> <C>
Assets:
LaSalle Income Plus Fund $1,271,580 427,914 (8,526) 22,134
Investment Advisers
Emerging Growth Fund 1,445,160 112,837 (6,729) 84,762
Vanguard U.S. Growth Fund 768,198 49,948 (2,761) 72,050
Twentieth Century Balanced
Investors Fund 644,211 53,645 (7,038) 20,129
SPSS Inc. 401(k) Stock Fund 169,422 23,252 (369) (4,886)
Fidelity Managed Income
Portfolio -- 84,363 (167,299) 53,354
Fidelity Intermediate Bond Fund -- 43,868 (1,089) 17,616
Fidelity Asset Manager Portfolio -- 22,563 (857) 15,483
Fidelity Puritan Fund -- 65,319 (13,924) 49,781
Fidelity Growth & Income
Portfolio -- 97,378 (13,895) 141,270
Fidelity Blue Chip Growth Fund -- 182,123 (87,895) 136,316
Fidelity Contrafund -- 90,828 (56,574) 84,153
Fidelity Overseas Fund -- 43,972 (3,639) 18,529
Retirement Money Market -- -- -- 13
---------- ---------- -------- -------
Total investment funds 4,298,571 1,298,010 (370,595) 710,704
Participant contributions
receivable 77,239 (71,850) -- --
Participant loans receivable 153,539 -- -- --
Liabilities:
Accrued liabilities -- -- -- --
---------- ---------- -------- -------
Net assets available for plan
benefits as reported in
the financial statements $4,529,349 1,226,160 (370,595) 710,704
========== ========== ======== =======
</TABLE>
<TABLE>
<CAPTION>
Loans Refund Transfer upon Net assets
and to change in at
transfers participants trustee Dec. 31, 1995
--------- ------------ ------------- -------------
<S> <C> <C> <C> <C>
Assets:
LaSalle Income Plus Fund (1,888) -- (1,711,214) --
Investment Advisers
Emerging Growth Fund 6,085 -- (1,642,115) --
Vanguard U.S. Growth Fund 847 -- (888,282) --
Twentieth Century Balanced
Investors Fund 3,441 -- (714,388) --
SPSS Inc. 401(k) Stock Fund 258 -- (187,677) --
Fidelity Managed Income
Portfolio (70,578) -- 1,472,781 1,372,621
Fidelity Intermediate Bond Fund (17,840) -- 282,665 325,220
Fidelity Asset Manager Portfolio 6,759 -- 139,119 183,067
Fidelity Puritan Fund (23,838) -- 438,234 515,572
Fidelity Growth & Income
Portfolio 66,467 -- 713,597 1,004,817
Fidelity Blue Chip Growth Fund 23,354 -- 1,240,282 1,494,180
Fidelity Contrafund (38,202) -- 568,538 648,743
Fidelity Overseas Fund 29,865 288,460 377,187
Retirement Money Market -- -- -- 13
------- ------- --------- ---------
Total investment funds (15,270) -- -- 5,921,420
Participant contributions
receivable -- -- -- 5,389
Participant loans receivable 25,587 (11,453) -- 167,673
Liabilities:
Accrued liabilities -- (36,355) -- (36,355)
------- ------- --------- ---------
Net assets available for plan
benefits as reported in
the financial statements 10,317 (47,808) -- 6,058,127
======= ======= ========= =========
</TABLE>
9
<PAGE> 11
Schedule 1
SPSS INC. 401(k) PLAN
Item 27a - Schedule of Assets Held for Investment Purposes
December 31, 1995
<TABLE>
<CAPTION>
Fair
Description Cost value
---------- ---------
<S> <C> <C>
Fidelity Managed Income Portfolio $1,372,621 1,372,621
Fidelity Intermediate Bond Fund 319,491 325,220
Fidelity Asset Manager Portfolio 171,702 183,067
Fidelity Puritan Fund 491,242 515,572
Fidelity Growth & Income Portfolio 912,386 1,004,817
Fidelity Blue Chip Growth Fund 1,485,973 1,494,180
Fidelity Contrafund 627,709 648,743
Fidelity Overseas Fund 369,341 377,187
Retirement Money Market -- 13
---------- ---------
Total investments 5,750,465 5,921,420
Participant loans (7% to 11.5%) 167,673 167,673
---------- ---------
Total assets held for investment $5,918,138 6,089,093
========== =========
</TABLE>
See accompanying independent auditors' report.
10
<PAGE> 12
Schedule 2
SPSS INC. 401(k) PLAN
Item 27d - 5% Reportable Transaction
Year ended December 31, 1995
<TABLE>
<CAPTION>
EXPENSES INCURRED W/ TRADES
PURCHASE SELLING --------------------------
DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL
----------------------- -------- ------- -------- ------ -----
<S> <C> <C> <C> <C> <C>
SPSS INC. 401K TRUST - SPSS STOCK
SPSS INCORPORATED
COMMON STOCK 186,874.50
# OF TRADES 2
LASALLE NATIONAL TRUST, N.A. STIF-E 192,533.00 192,553.00
SHORT TERM INVESTMENT FUND
# OF TRADES 6 3
SPSS INC. 401K TRUST - 20TH CENTURY BAL. INVEST
TWENTIETH CENTURY INVESTORS, INC 21,320.49 659,595.76
BALANCED INVESTORS SHARES
# OF TRADES 5 6
LASALLE NATIONAL TRUST, N.A. STIF-E 671,829.00 671,827.00
SHORT TERM INVESTMENT FUND
# OF TRADES 14 10
SPSS INC. 401K TRUST - INV. ADV. EMERGING GROWTH
IAI EMERGING GROWTH FUND 587.09 1,410,682.18
SHARES OF BENEFICIAL INTEREST
# OF TRADES 2 6
LASALLE NATIONAL TRUST, N.A. STIF-E 1,441,697.00 1,447,936.00
SHORT TERM INVESTMENT FUND
# OF TRADES 15 11
</TABLE>
<TABLE>
<CAPTION>
COST OF CURRENT NET GAIN
DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS
----------------------- -------- --------- ---------
<S> <C> <C> <C>
SPSS INC. 401K TRUST - SPSS STOCK
SPSS INCORPORATED
COMMON STOCK 124,583.00 186,874.50 62,291.50
# OF TRADES 2
LASALLE NATIONAL TRUST, N.A. STIF-E 192,553.00 385,106.00
SHORT TERM INVESTMENT FUND
# OF TRADES 9
SPSS INC. 401K TRUST - 20TH CENTURY BAL. INVEST
TWENTIETH CENTURY INVESTORS, INC 646,304.87 680,916.25 13,290.89
BALANCED INVESTORS SHARES
# OF TRADES 11
LASALLE NATIONAL TRUST, N.A. STIF-E 671,827.00 1,343,656.00
SHORT TERM INVESTMENT FUND
# OF TRADES 24
SPSS INC. 401K TRUST - INV. ADV. EMERGING GROWTH
IAI EMERGING GROWTH FUND 1,301,007.95 1,411,269.27 109,674.23
SHARES OF BENEFICIAL INTEREST
# OF TRADES 8
LASALLE NATIONAL TRUST, N.A. STIF-E 1,447,936.00 2,889,633.00
SHORT TERM INVESTMENT FUND
# OF TRADES 26
</TABLE>
See accompanying independent auditors' report
11
<PAGE> 13
Schedule 2
SPSS INC. 401(k) PLAN
Item 27d - 5% Reportable Transaction, Continued
<TABLE>
<CAPTION>
PURCHASE SELLING --------------------------
DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL
----------------------- -------- ------- -------- ------ -----
<S> <C> <C> <C> <C> <C>
SPSS INC. 401K TRUST - VANGUARD U.S. GROWTH
VANGUARD WORLD FUND 72,227.02 854,633.80
U S GROWTH PORTFOLIO
# OF TRADES 4 6
LASALLE NATIONAL TRUST, N.A. STIF-E 869,752.00 935,133.00
SHORT TERM INVESTMENT FUND
# OF TRADES 13 12
SPSS INC. 401K TRUST - LOAN FUND
LASALLE NATIONAL TRUST, N.A. STIF-E 64,440.00 78,237.00
SHORT TERM INVESTMENT FUND
# OF TRADES 11 4
SPSS INC. 401K TRUST - INCOME PLUS
LASALLE NATIONAL TRUST, N.A. STIF-E 1,930,641.00 1,930,627.00
SHORT TERM INVESTMENT FUND
# OF TRADES 16 9
LASALLE NATIONAL TRUST, N.A. 356,760.20 1,578,083.22
POOLED TRUST FUND FOR EMPLOYEE
BENEFIT PLANS INCOME PLUS FUND
# OF TRADES 7 6
</TABLE>
<TABLE>
<CAPTION>
COST OF CURRENT NET GAIN
DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS
----------------------- -------- --------- ---------
<S> <C> <C> <C>
SPSS INC. 401K TRUST - VANGUARD U.S. GROWTH
VANGUARD WORLD FUND 753,264.50 926,860.82 101,369.30
U S GROWTH PORTFOLIO
# OF TRADES 10
LASALLE NATIONAL TRUST, N.A. STIF-E 935,133.00 1,804,885.00
SHORT TERM INVESTMENT FUND
# OF TRADES 25
SPSS INC. 401K TRUST - LOAN FUND
LASALLE NATIONAL TRUST, N.A. STIF-E 78,237.00 142,677.00
SHORT TERM INVESTMENT FUND
# OF TRADES 15
SPSS INC. 401K TRUST - INCOME PLUS
LASALLE NATIONAL TRUST, N.A. STIF-E 1,930,627.00 3,861,268.00
SHORT TERM INVESTMENT FUND
# OF TRADES 25
LASALLE NATIONAL TRUST, N.A. 1,578,083.22 1,934,843.42
POOLED TRUST FUND FOR EMPLOYEE
BENEFIT PLANS INCOME PLUS FUND
# OF TRADES 13
</TABLE>
See accompanying independent auditors' report
12
<PAGE> 14
Schedule 2
SPSS INC. 401(k) PLAN
Item 27d - 5% Reportable Transaction, Continued
<TABLE>
<CAPTION>
EXPENSES INCURRED W/ TRADES
PURCHASE SELLING --------------------------
DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL
----------------------- -------- ------- -------- ------ -----
<S> <C> <C> <C> <C> <C>
SPSS INC. 401K TRUST - PURITAN
FIDELITY PURITAN FUND 592,872.97 103,784.68
# OF TRADES 41 13
SPSS INC. 401K TRUST - CONTRA FUND
FIDELITY CONTRA FUND 794,217.19 175,341.08
# OF TRADES 40 8
SPSS INC. 401K TRUST - GROWTH & INCOME
FIDELITY GROWTH & INCOME FUND 1,009,913.71 101,417.28
# OF TRADES 45 13
SPSS INC. 401K TRUST - INTERMEDIATE BOND
FIDELITY INTERMEDIATE BOND FUND 342,076.33 22,703.57
# OF TRADES 38 6
SPSS INC. 401K TRUST - OVERSEAS
FIDELITY OVERSEAS FUND 373,667.30 4,419.56
# OF TRADES 36 5
</TABLE>
<TABLE>
<CAPTION>
COST OF CURRENT NET GAIN
DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS
----------------------- -------- --------- ---------
<S> <C> <C> <C>
SPSS INC. 401K TRUST - PURITAN
FIDELITY PURITAN FUND 101,631.43 696,657.65 2,153.25
# OF TRADES 54
SPSS INC. 401K TRUST - CONTRA FUND
FIDELITY CONTRA FUND 166,508.33 969,558.27 8,832.75
# OF TRADES 48
SPSS INC. 401K TRUST - GROWTH & INCOME
FIDELITY GROWTH & INCOME FUND 97,527.49 1,111,330.99 3,889.79
# OF TRADES 58
SPSS INC. 401K TRUST - INTERMEDIATE BOND
FIDELITY INTERMEDIATE BOND FUND 22,585.08 364,779.90 118.49
# OF TRADES 44
SPSS INC. 401K TRUST - OVERSEAS
FIDELITY OVERSEAS FUND 4,326.62 378,086.86 92.94
# OF TRADES 41
</TABLE>
See accompanying independent auditors' report
13
<PAGE> 15
Schedule 2
SPSS INC. 401(k) PLAN
Item 27d - 5% Reportable Transaction
<TABLE>
<CAPTION>
EXPENSES INCURRED W/ TRADES
PURCHASE SELLING --------------------------
DESCRIPTION OF SECURITY PRICE PRICE PURCHASE SALES TOTAL
----------------------- -------- ------- -------- ------ -----
<S> <C> <C> <C> <C> <C>
SPSS INC. 401K TRUST - BLUE CHIP
FIDELITY BLUE CHIP FUND 1,603,241.65 121,150.51
# OF TRADES 46 13
SPSS INC. 401K TRUST - MANAGED INCOME PORT.
FIDELITY - MANAGED INCOME PORTFOLIO 1,620,148.83 247,528.04
# OF TRADES / % OF BEGINNING VALUE 43 20
</TABLE>
<TABLE>
<CAPTION>
COST OF CURRENT NET GAIN
DESCRIPTION OF SECURITY SECURITY VALUE OR LOSS
----------------------- -------- --------- ---------
<S> <C> <C> <C>
SPSS INC. 401K TRUST - BLUE CHIP
FIDELITY BLUE CHIP FUND 121,150.51 1,724,392.16 3,882.31
# OF TRADES 59
SPSS INC. 401K TRUST - MANAGED INCOME PORT.
FIDELITY - MANAGED INCOME PORTFOLIO 247,528.04 1,867,676.87 --
# OF TRADES / % OF BEGINNING VALUE 63
</TABLE>
See accompanying independent auditors' report
14
<PAGE> 16
SIGNATURE
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934,
the Plan's trustees have duly caused this annual report to be signed on its
behalf by the undersigned hereunto duly authorized.
SPSS Inc. 401(k) Plan
August 2, 1996 By: /s/ Theresa Dear
---------------------------
Theresa Dear
Plan Trustee
15
<PAGE> 17
EXHIBIT INDEX
Exhibit
Number Document Description
- ------- --------------------------------------------------------------
23.1 Consent of Independent Certified Public Accountants
99 SPSS Inc. 401(k) Plan, incorporated by reference to Exhibit 99
of the Plan's Form 11-K as of December 31, 1994
16
<PAGE> 1
EXHIBIT 23.1
CONSENT OF INDEPENDENT
CERTIFIED PUBLIC ACCOUNTANTS
The Plan's Trustees
SPSS Inc. 401(k) Plan:
We consent to incorporation by reference in the Registration Statements on Form
S-8 of SPSS Inc. of our report dated August 2, 1996, relating to the statements
of net assets available for plan benefits of the SPSS Inc. 401(k) Plan as of
December 31, 1994 and 1995, and the related statements of changes in net assets
available for plan benefits for each of the years in the three-year period
ended December 31, 1995, which report appears in the December 31, 1995 report
on Form 11-K of the SPSS Inc. 401(k) Plan.
KPMG Peat Marwick LLP
Chicago, Illinois
August 12, 1996
17
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