SEC Form 4/A · accession 0000899243-16-017861
ASTA FUNDING INC · ASFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Gary Stern
Officer — President and CEO · Director
Period of report
Dec 18, 2012
Accepted (ET)
Apr 11, 2016 · 12:46 pm EDT
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 | Feb 18, 2012 | A | 102,321 | $0.00 | A | 615,809 | D | |
| Common Stock, par value $.01 per shareF2 | holding | — | — | — | 175,648 | I | See Footnote | |
| Common Stock, par value $.01 per shareF3 | holding | — | — | — | 2,590 | I | See Footnote | |
| Common Stock, par value $.01 per shareF4 | holding | — | — | — | 285,607 | I | See Footnote | |
| Common Stock, par value $.01 per shareF5 | holding | — | — | — | 503,590 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Due to a clerical error, the Form 4 filed on December 20, 2012 reporting a transaction on December 18, 2012 incorrectly noted that Mr. Stern's direct holdings were 962,810, and his indirect holdings were 482,203.
- F2Consists of 175,648 shares of common stock owned by a family member sharing the same residence.
- F3Consist of shares held in the Emily Stern 2012 GST Trust for which he is co-trustee with Ricky Stern.
- F4Consists of shares of common stock are owned by Asta Group Incorporated, which shares are attributable to the reporting person based on his percentage ownership of Asta Group.
- F5Consist of shares held in the shares held in the Ricky Stern 2012 GST Trustfor which he is co-trustee with Ricky Stern.