SEC Form 4 · accession 0000899243-17-020847

Alliance HealthCare Services, Inc · AIQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President & CEO · Director

Period of report

Aug 21, 2017

Accepted (ET)

Aug 22, 2017 · 4:43 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000817135

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Aug 21, 2017	D	18,194	$13.25	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Restricted Stock Units^F2,F3	—	Aug 21, 2017	D	17,720	D	—	—	Common Stock	17,720	D
Stock Option (right to buy)^F4	$29.14	Aug 21, 2017	D	102,952	D	—	Oct 1, 2023	Common Stock	102,952	D
Stock Option (right to buy)^F4	$23.91	Aug 21, 2017	D	21,055	D	—	Feb 27, 2025	Common Stock	21,055	D
Stock Option (right to buy)^F4	$6.93	Aug 21, 2017	D	44,079	D	—	Mar 23, 2026	Common Stock	44,079	D

F1Disposed of pursuant to the closing of the transactions contemplated by that certain Agreement and Plan of Merger, dated as of April 10, 2017 by and among the Issuer, Tahoe Investment Group Co., Ltd., THAIHOT Investment Company Limited, THAIHOT Investment Company US Limited and Alliance Healthcare Services Merger Sub Limited. Each share of Issuer common stock held by the reporting person was cancelled in the merger and converted into the right to receive $13.25 in cash per share, without interest and less any applicable withholding taxes (the "Merger Consideration").
F2Restricted Stock Units convert to common stock on a one to one basis upon the vesting thereof with no expiration date.
F3Restricted stock units were cancelled in the merger and converted into the right to receive a restricted cash award equal to (i) the number of shares of common stock subject to the restricted stock units multiplied by (ii) the Merger Consideration. The restricted cash award vests in equal amounts on March 23, 2018 and 2019, subject to continued service through each applicable vesting date.
F4Options were cancelled in the merger and converted into the right to receive an amount in cash determined by multiplying (i) the excess of the Merger Consideration over the option exercise price of such option by (ii) the number of shares of common stock subject to such option.