SEC Form 4 · accession 0001181071-15-000001
AMERICAN CAPITAL, LTD · ACAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary C Baskin
Director
Period of report
Mar 13, 2015
Accepted (ET)
Mar 16, 2015 · 4:16 pm EDT
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 | Mar 13, 2015 | M | 3,750 | $6.15 | A | 25,452 | D | |
| Common Stock | Mar 13, 2015 | M | 10,000 | $8.69 | A | 25,452 | D | |
| Common StockF1 | Mar 13, 2015 | S | 13,750 | $14.6816 | D | 25,452 | D | |
| Common Stock | holding | — | — | — | 14,606 | I | Spouse's IRA | |
| Common Stock | holding | — | — | — | 165 | I | Owned by son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2 | $6.15 | Mar 13, 2015 | M | 3,750 | D | Oct 8, 2010 | Jun 11, 2019 | Common Stock | 3,750 | 0 | D |
| OptionsF3 | $8.69 | Mar 13, 2015 | M | 10,000 | D | Sep 15, 2011 | Sep 15, 2020 | Common Stock | 10,000 | 146,250 | D |
Explanation of responses
- F1Price reflects weighted average sales price; actual sale prices ranged from $14.680 to $14.686. The reporting person undertakes to provide, upon request by the Commission staff, the issuer or a security holder of the issuer, information regarding the number of shares sold at each separate price.
- F2Under terms of SEC order authorizing these options, one-third of these options vested on October 8, 2010, one-third vested on June 11, 2011 and one-third vested on June 11, 2012.
- F3Under terms of SEC order authorizing these options, one-third of these options vested on September 15, 2011, one-third vested on September 15, 2012 and one-third vested on September 15, 2013.