SEC Form 4 · accession 0001032011-17-000001
AMERICAN SHARED HOSPITAL SERVICES · AMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Ruffle
Director · 10% Owner
Period of report
Mar 29, 2017
Accepted (ET)
Mar 31, 2017 · 3:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000744825
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, No Par Value | Mar 29, 2017 | M | 50,000 | $2.20 | A | 541,849 | D | |
| Common Stock, No Par Value | Mar 29, 2017 | M | 2,000 | $2.81 | A | 543,849 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to purchase) | $2.20 | Mar 29, 2017 | M | 50,000 | D | Oct 22, 2015 | Oct 22, 2017 | Common Stock | 50,000 | 0 | D |
| Non-Qualified Stock Options (right to buy) | $2.81 | Mar 29, 2017 | M | 2,000 | D | Jun 1, 2011 | Jun 1, 2017 | Common Stock | 2,000 | 19,500 | D |