SEC Form 4 · accession 0001181077-15-000006
AMERICAN CAPITAL, LTD · ACAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Erickson
Officer — CFO and Pres., Structured Fin.
Period of report
Jan 9, 2015
Accepted (ET)
Jan 13, 2015 · 4:09 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 | Jan 9, 2015 | M | 46,458 | $2.77 | A | 426,952 | D | |
| Common StockF1,F2 | Jan 12, 2015 | S | 23,229 | $14.7091 | D | 403,723 | D | |
| Common Stock | holding | — | — | — | 10,279 | I | ESOP | |
| Common Stock | holding | — | — | — | 242,155 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 97,700 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options | $2.77 | Jan 9, 2015 | M | 46,458 | D | Nov 11, 2010 | Nov 11, 2019 | Common Stock | 46,458 | 0 | D |
Explanation of responses
- F1Sales made pursuant to a previously established Rule 10b5-1 Plan.
- F2Price reflects weighted average sales price; actual sales prices ranged from $14.62 to $14.91. 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.