SEC Form 4 · accession 0000899243-16-010689
ASTA FUNDING INC · ASFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ricky Stern
Officer — Senior Vice President
Period of report
Dec 18, 2015
Accepted (ET)
Jan 4, 2016 · 7:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001258
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 per shareF1,F2 | Dec 18, 2015 | W | 450,000 | $7.51 | A | 799,362 | I | By self as Co-Trustee for Ricky Stern 2012 GST Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Of this amount 104,000 shares were acquired from the Stern 2000 Family Trust and 346,000 shares from the Stern Family Investors LLC and are held by the Ricky Stern 2012 GST Trust.
- F2The 799,362 shares consist of the 450,000 shares referred to in footnote (1), 51,000 shares currently held by the Ricky Stern 2012 GST Trust; 218,142 shares are owned directly; 30,220 shares are held through a proportionate interest in Asta Group; and 50,000 shares purchasable through the exercise of stock options.