SEC Form 4 · accession 0001181071-15-000002
AMERICAN CAPITAL, LTD · ACAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary C Baskin
Director
Period of report
Aug 10, 2015
Accepted (ET)
Aug 11, 2015 · 4:29 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 | Aug 10, 2015 | M | 30,000 | $8.69 | A | 29,452 | D | |
| Common Stock | Aug 10, 2015 | S | 26,000 | $13.91 | D | 29,452 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $8.69 | Aug 10, 2015 | M | 30,000 | D | Sep 15, 2011 | Sep 15, 2020 | Common Stock | 30,000 | 116,250 | D |
Explanation of responses
- F1Under 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.