SSNC 10-K Annual Report Dec. 31, 2020 | Alphaminr
SS&C Technologies Holdings Inc
ALPHAMINR

SSNC 10-K Fiscal year ended Dec. 31, 2020

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SS&C TECHNOLOGIES HOLDINGS INC
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PROXIES
DEF 14A
 		Filed on April 12, 2024
DEF 14A
 		Filed on April 6, 2023
DEF 14A
 		Filed on April 1, 2022
DEF 14A
 		Filed on April 6, 2021
DEF 14A
 		Filed on April 6, 2020
DEF 14A
 		Filed on April 5, 2019
DEF 14A
 		Filed on April 6, 2018
DEF 14A
 		Filed on April 3, 2017
DEF 14A
 		Filed on April 22, 2016
DEF 14A
 		Filed on April 14, 2015
DEF 14A
 		Filed on March 11, 2015
DEF 14A
 		Filed on April 16, 2014
DEF 14A
 		Filed on April 25, 2013
DEF 14A
 		Filed on April 23, 2012
DEF 14A
 		Filed on April 29, 2011
TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataNote 1 OrganizationNote 2 Summary Of Significant Accounting PoliciesNote 3 Accounts Receivable, NetNote 4 Property, Plant and Equipment, NetNote 5 LeasesNote 6 InvestmentsNote 7 Unconsolidated AffiliatesNote 8 AcquisitionsNote 9 Goodwill and Intangible AssetsNote 10 DebtNote 11 Stockholders EquityNote 12 RevenueNote 13 Stock-based CompensationNote 14 Benefit PlansNote 15 Basic and Diluted Earnings Per ShareNote 16 Income TaxesNote 17 Commitments and ContingenciesNote 18 Segment and Geographic InformationNote 19 Subsequent EventsItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibits and Financial Statement SchedulesItem 16. Form 10-k Summary

Exhibits

3.1 Restated Certificate of Incorporation of the Registrant is incorporated herein by reference to Exhibit3.1 to the Companys Quarterly Report on Form 10-Q, filed on August 5, 2016 (File No. 001-34675) 3.2 Amended and Restated Bylaws of the Registrant are incorporated herein by reference to Exhibit3.4 to the FormS-1, as amended (File No. 333-164043) (the 2010 Form S-1) 4.1 Indenture, dated as of March 28, 2019, among SS&C Technologies, Inc., SS&C Technologies Holdings, Inc., the other guarantors party thereto and Wilmington Trust, National Association, as trustee is incorporated by reference to Exhibit 4.1 to the Registrants Current Report on Form 8-K, filed on March 28, 2019 (File No. 001-34675) 4.2 Form of 5.500 % Senior Notes due 2027 is incorporated by reference to Exhibit 4.2 to the Registrants Current Report on Form 8-K, filed on March 28, 2019 (File No. 001-34675) 4.3 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 in incorporated herein by reference to Exhibit 4.3 to the Companys Annual Report on Form 10-K, filed on February 28, 2020 (File No. 001-34675) 10.1 Credit Agreement, dated as of July 8, 2015, by and among SS&C Technologies Holdings, Inc., SS&C Technologies, Inc., SS&C European Holdings S.a R.L, SS&C Technologies Holdings Europe S.a R.L., certain of SS&Cs subsidiaries, Deutsche Bank AG New York Branch and certain Lenders and L/C Issuers party thereto is incorporated herein by reference to Exhibit 10.2 of the Registrants Current Report on Form 8-K, filed on July 8, 2015 (File No. 001-34675) 10.2 Amendment No. 1 to the Credit Agreement, dated as of March 2, 2017, by and among SS&C Technologies Holdings, Inc., SS&C Technologies, Inc., SS&C European Holdings S.a R.L, SS&C Technologies Holdings Europe S.a R.L., certain of SS&Cs subsidiaries, Deutsche Bank AG New York Branch and certain Lenders and L/C Issuers party thereto is incorporated herein by reference to Exhibit 10.1 to the Registrants Current Report on Form 8-K, filed on March 6, 2017 (File No. 001-34675) 10.3 Second Amendment to Credit Agreement, dated as of March 9, 2018, among SS&C Technologies Holdings, Inc., SS&C Technologies, Inc., SS&C European Holdings S.a R.L, SS&C Technologies Holdings Europe S.a R.L., the Companys other subsidiaries party thereto, Credit Suisse AG, Cayman Islands Branch, as administrative agent, and the lenders and L/C issuers party thereto (Exhibit A thereto is incorporated herein by reference to Exhibit 10.1 to the Registrants Current Report on Form 8-K, filed on April 16, 2018 (File No. 001-34675)) 10.4 Commitment Increase Amendment, dated as of October 1, 2018, among SS&C Technologies Holdings, Inc., certain of its subsidiaries and Credit Suisse AG, Cayman Islands Branch, as administrative agent and lender is incorporated by reference to Exhibit 10.1 to the Registrants Current Report on Form 8-K, filed on October 5, 2018 (File No. 001-34675) 10.5 Commitment Increase Amendment dated as of November 16, 2018, among SS&C Technologies Holdings, Inc., certain of its subsidiaries, Credit Suisse AG, Cayman Islands Branch, as administrative agent, and Deutsche Bank AG New York Branch, as lender 10.7 Amendment No.1, dated April22, 2008, to the Stockholders Agreement dated as of November23, 2005, by and among the Registrant, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P. and William C. Stone is incorporated herein by reference to Exhibit10.28 to the Registrants Registration Statement on FormS-1, as amended (File No.333-143719) (the 2008 FormS-1) 10.8 Amendment No.2, dated March2, 2010, to the Stockholders Agreement dated as of November23, 2005, as amended by Amendment No.1 to the Stockholders Agreement dated April22, 2008, by and among the Registrant, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P. and William C. Stone is incorporated herein by reference to Exhibit10.1 to SS&C Technologies, Inc.s Current Report on Form8-K, filed on March2, 2010 (File No.000-28430) (the March2, 2010 8-K) 10.9 Amendment No.3, dated March10, 2011, to the Stockholders Agreement dated as of November23, 2005, as amended by Amendment No.1 to the Stockholders Agreement dated April22, 2008, and Amendment No.2 to the Stockholders Agreement dated March2, 2010, by and among the Registrant, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P. and William C. Stone is incorporated herein by reference to Exhibit 10.35 to SS&C Technologies, Inc.s Annual Report on Form 10-K for the year ended December 31, 2010 (File No. 000-28430) 10.11 Registration Rights Agreement, dated November 16, 2018, by and between the Impala Private Holdings I, LLC and SS&C Technologies Holdings, Inc. is incorporated herein by reference to Exhibit 10.1 to the Registrants Current Report on Form 8-K filed on November 16, 2018 (File No. 001-34675) 10.12* Employment Agreement, dated as of March11, 2010, by and among William C. Stone, the Registrant and SS&C Technologies, Inc. is incorporated herein by reference to Exhibit10.27 to the 2010 FormS-1 10.13* First Amended and Restated Employment Agreement, dated as of March31, 2015, between SS&C Technologies Holdings, Inc. and William C. Stone is incorporated herein by reference to Exhibit99.1 tothe Registrants Current Report on Form 8-K, filed on April 1, 2015 (File No. 001-34675) 10.14* Employment Agreement, dated as of February 8, 2018, among SS&C Technologies Holdings, Inc, SS&C Technologies, Inc. and Joseph J. Frank is incorporated herein by reference to Exhibit 10.2 to the Registrants Quarterly Report on Form 10-Q for the quarter ended March 31, 2018 (File No. 001-34675) 10.15* Form of Director Indemnification Agreement is incorporated herein by reference to Exhibit10.35 to the 2010 FormS-1 10.19* 2008 Stock Incentive Plan is incorporated herein by reference to Exhibit10.26 to the 2008 FormS-1 10.20* Form of 2008 Stock Incentive Plan Stock Option Grant Notice and Stock Option Agreement is incorporated herein by reference to Exhibit10.26 to the 2010 FormS-1 10.21* Form of Restricted Stock Award Agreement under 2006 Equity Incentive Plan is incorporated herein by reference to Exhibit 10.2 to the Registrants Quarterly Report on Form 10-Q for the Quarter ended June 30, 2013 (File No. 001-34675) 10.22* SS&C Technologies Holdings, Inc. Second Amended and Restated 2014 Stock Incentive Plan, adopted effective May 15, 2019, is incorporated herein by reference to Exhibit 99.1 to the Registrants Registration Statement on Form S-8, filed on August 2, 2019 (File No. 001-34675) 10.23* SS&C Technologies Holdings, Inc. Executive Bonus Plan is incorporated herein by reference to Appendix B to the Companys definitive proxy statement on Schedule 14A, filed on April 16, 2014 (File No. 001-34675) 10.24* Form of Stock Option Agreement under the SS&C Technologies Holdings, Inc. Second Amended and Restated 2014 Stock Incentive Plan is incorporated herein by reference to Exhibit 10.2 to the Registrants Quarterly Report on Form 10-Q for the quarter ended June 30, 2019 (File No. 001-34675) 10.25* Form of Restricted Stock Unit Award Agreement under the SS&C Technologies Holdings, Inc. Second Amended and Restated 2014 Stock Incentive Plan is incorporated herein by reference to Exhibit 10.3 to the Registrants Quarterly Report on Form 10-Q for the quarter ended June 30, 2019 (File No. 001-34675) 10.26* Restricted Stock Unit Award Agreement, dated as of March 9, 2018, among SS&C Technologies Holdings, Inc and Joseph J. Frank is incorporated herein by reference to Exhibit 10.4 to the Registrants Quarterly Report on Form 10-Q for the quarter ended March 31, 2018 (File No. 001-34675) 10.27* First Repricing Amendment to the Credit Agreement, dated as of January 31, 2020, among SS&C Technologies Holdings, Inc., SS&C European Holdings S.a r.l., SS&C Technologies Holdings Europe S.a r.l., SS&C Financing LLC, Credit Suisse AG and Cayman Islands Branch is incorporated herein by reference to Exhibit 10.1 to the Registrants Quarterly Report on Form 10-Q for the quarter ended March 31, 2020 (File No. 001-34675) 21** Subsidiaries of the Registrant 23.1** Consent of PricewaterhouseCoopers LLP 31.1** Certifications of the Registrants Chief Executive Officer pursuant to Section302 of the Sarbanes-Oxley Act of 2002 31.2** Certifications of the Registrants Chief Financial Officer pursuant to Section302 of the Sarbanes-Oxley Act of 2002 32** Certification of the Registrants Chief Executive Officer and Chief Financial Officer pursuant to 18U.S.C. Section1351, as adopted pursuant to Section906 of the Sarbanes-Oxley Act of 2002 (furnished and not filed for purposes of sections 11 or 12 of the Securities Act and section 18 of the Exchange Act)