SEC Form 4 · accession 0001053749-16-000005
AMERICAN CAPITAL, LTD · ACAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Malon Wilkus
Officer — CEO
Period of report
Dec 21, 2016
Accepted (ET)
Dec 23, 2016 · 4:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000817473
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 21, 2016 | M | 154,281 | $2.51 | A | 2,777,109 | D | |
| Common Stock | Dec 21, 2016 | M | 118,760 | $2.71 | A | 2,777,109 | D | |
| Common Stock | Dec 21, 2016 | M | 154,281 | $2.15 | A | 2,777,109 | D | |
| Common Stock | Dec 21, 2016 | M | 13,735 | $2.77 | A | 2,777,109 | D | |
| Common Stock | holding | — | — | — | 91,963 | I | Owned by Spouse | |
| Common Stock | holding | — | — | — | 80,934 | I | 401(k) | |
| Common Stock | holding | — | — | — | 1,306 | I | IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $2.51 | Dec 21, 2016 | M | 154,281 | D | May 26, 2010 | May 26, 2019 | Common Stock | 154,281 | 0 | D |
| Stock Options | $2.71 | Dec 21, 2016 | M | 118,760 | D | Jun 23, 2010 | Jun 23, 2019 | Common Stock | 118,760 | 0 | D |
| Stock OptionsF2 | $2.15 | Dec 21, 2016 | M | 154,281 | D | Apr 24, 2010 | Apr 24, 2019 | Common Stock | 154,281 | 0 | D |
| Stock Options | $2.77 | Dec 21, 2016 | M | 13,735 | D | Nov 11, 2010 | Nov 11, 2019 | Common Stock | 13,735 | 177,592 | D |
Explanation of responses
- F1On June 11, 2009, the company declared a stock dividend payable to all holders of record of common stock on June 22, 2009. Pursuant to the anti-dilution provisions of the Company's stock option plan, an option for 118,760 shares of common stock with an exercise price of $3.26 held by the reporting person on June 22, 2009 became exercisable for 154,281 shares of common stock with an exercise price of $2.51.
- F2On June 11, 2009, the company declared a stock dividend payable to all holders of record of common stock on June 22, 2009. Pursuant to the anti-dilution provisions of the Company's stock option plan, an option for 118,760 shares of common stock with an exercise price of $2.79 held by the reporting person on June 22, 2009 became exercisable for 154,281 shares of common stock with an exercise price of $2.15.