SEC Form 4 · accession 0001437749-18-002643
ASTA FUNDING INC · ASFI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth Berman
Officer — Secretary & General Counsel
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 12:24 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 $0.01 per share | Feb 13, 2018 | M | 2,500 | $2.95 | A | 2,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $2.95 | Feb 13, 2018 | M | 2,500 | D | — | May 5, 2019 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1Stock options were granted on May 5, 2009, and vested 33 1/3% on each of May 5, 2010, May 5, 2011 and May 5, 2012.