SEC Form 4 · accession 0001313337-15-000006
AMERICAN CAPITAL, LTD · ACAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel Allan Flax
Officer — EVP, GC and Secretary
Period of report
Mar 10, 2015
Accepted (ET)
Mar 12, 2015 · 4:50 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 10, 2015 | M | 55,696 | $3.10 | A | 375,975 | D | |
| Common Stock | Mar 10, 2015 | M | 33,647 | $2.96 | A | 375,975 | D | |
| Common Stock | Mar 10, 2015 | M | 26,504 | $2.77 | A | 375,975 | D | |
| Common StockF2 | Mar 10, 2015 | S | 115,847 | $14.7772 | D | 375,975 | D | |
| Common StockF1 | Mar 11, 2015 | S | 1,013 | $14.75 | D | 374,962 | D | |
| Common Stock | Mar 12, 2015 | M | 90,491 | $3.48 | A | 374,962 | D | |
| Common StockF3 | Mar 12, 2015 | S | 90,491 | $14.6379 | D | 374,962 | D | |
| Common Stock | holding | — | — | — | 4,766 | I | ESOP/401(k) Plan | |
| Common Stock | holding | — | — | — | 4,461 | I | IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $3.10 | Mar 10, 2015 | M | 55,696 | D | Jul 22, 2010 | Jul 22, 2019 | Common Stock | 55,696 | 0 | D |
| Stock Options | $2.96 | Mar 10, 2015 | M | 33,647 | D | Aug 12, 2010 | Aug 12, 2019 | Common Stock | 33,647 | 0 | D |
| Stock Options | $2.77 | Mar 10, 2015 | M | 26,504 | D | Nov 11, 2010 | Nov 11, 2019 | Common Stock | 26,504 | 0 | D |
| Stock Options | $3.48 | Mar 12, 2015 | M | 90,491 | D | Feb 10, 2011 | Feb 10, 2020 | Common Stock | 90,491 | 0 | D |
Explanation of responses
- F1Sales made pursuant to a previously established Rule 10b5-1 Plan.
- F2Price reflects weighted average sales price; actual sale prices ranged from $14.70 to $14.825. 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.
- F3Price reflects weighted average sales price; actual sale prices ranged from $14.63 to $14.65. 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.