SEC Form 4 · accession 0001181075-15-000002
AMERICAN CAPITAL, LTD · ACAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth D Peterson Jr.
Director
Period of report
Aug 27, 2015
Accepted (ET)
Aug 31, 2015 · 4:22 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 27, 2015 | M | 93,750 | $6.15 | A | 463,782 | D | |
| Common StockF1 | Aug 27, 2015 | S | 37,750 | $13.703 | D | 463,782 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $6.15 | Aug 27, 2015 | D | 93,750 | D | Jun 11, 2010 | Jun 11, 2019 | Common Stock | 93,750 | 0 | D |
Explanation of responses
- F1Price reflects weighted average sales price; actual sale prices ranged from $13.650 to $13.730 . 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 6/11/2010, one-third vested on 6/11/2011 and one-third vested on 6/11/2012.