SEC Form 4 · accession 0001181078-15-000001
AMERICAN CAPITAL, LTD · ACAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ira Wagner
Officer — Pres., European Priv Fin
Period of report
Mar 5, 2015
Accepted (ET)
Mar 9, 2015 · 5:11 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 5, 2015 | M | 79,794 | $5.19 | A | 155,102 | D | |
| Common Stock | Mar 5, 2015 | M | 78,035 | $6.51 | A | 155,102 | D | |
| Common Stock | Mar 5, 2015 | M | 44,070 | $6.77 | A | 155,102 | D | |
| Common StockF1 | Mar 5, 2015 | S | 143,835 | $14.8405 | D | 155,102 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $5.19 | Mar 5, 2015 | M | 79,794 | D | Jul 22, 2011 | Jul 22, 2020 | Common Stock | 79,794 | 76,276 | D |
| Stock Options | $6.51 | Mar 5, 2015 | M | 78,035 | D | Oct 21, 2011 | Oct 21, 2020 | Common Stock | 78,035 | 165,373 | D |
| Stock Options | $6.77 | Mar 5, 2015 | M | 44,070 | D | Oct 20, 2012 | Oct 20, 2021 | Common Stock | 44,070 | 88,140 | D |
Explanation of responses
- F1Price reflects weighted average sales price; actual sale prices ranged from $14.76 to $14.98. 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.