SEC Form 4 · accession 0000889609-15-000012
CONSUMER PORTFOLIO SERVICES, INC. · CPSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert E Riedl
Officer — Executive Vice President
Period of report
Apr 8, 2015
Accepted (ET)
Apr 10, 2015 · 7:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000889609
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stock, no par value | Apr 8, 2015 | M | 40,000 | $1.50 | A | 42,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 20,000 | $1.50 | A | 62,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 40,000 | $1.50 | A | 102,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 10,000 | $1.50 | A | 112,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 20,000 | $1.50 | A | 132,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 20,000 | $1.50 | A | 152,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 60,000 | $0.77 | A | 212,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 20,000 | $1.81 | A | 232,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 30,000 | $1.03 | A | 262,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 60,000 | $0.95 | A | 322,000 | D | |
| common stock, no par value | Apr 8, 2015 | M | 21,600 | $1.20 | A | 343,600 | D | |
| common stock, no par value | Apr 8, 2015 | M | 5,600 | $1.94 | A | 349,200 | D | |
| common stock, no par value | Apr 8, 2015 | F | 60,857 | $7.10 | D | 288,343 | D | |
| common stock, no par value | Apr 8, 2015 | G | 286,343 | $0.00 | D | 2,000 | D | |
| common stock, no par value | Apr 8, 2015 | G | 286,343 | $0.00 | A | 452,679 | I | The Riedl Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $1.50 | Apr 8, 2015 | M | 40,000 | D | Jun 10, 2010 | Apr 29, 2015 | Common Stock, no par value | 40,000 | 0 | D |
| Stock Option (right to buy)F1 | $1.50 | Apr 8, 2015 | M | 20,000 | D | Jun 10, 2010 | Dec 30, 2015 | Common Stock, no par value | 20,000 | 0 | D |
| Stock Option (right to buy)F1,F2 | $1.50 | Apr 8, 2015 | M | 40,000 | D | — | Oct 25, 2016 | Common Stock, no par value | 40,000 | 0 | D |
| Stock Option (right to buy)F1,F3 | $1.50 | Apr 8, 2015 | M | 10,000 | D | — | Feb 27, 2017 | Common Stock, no par value | 10,000 | 0 | D |
| Stock Option (right to buy)F1,F4 | $1.50 | Apr 8, 2015 | M | 20,000 | D | — | Jul 30, 2017 | Common Stock, no par value | 20,000 | 0 | D |
| Stock Option (right to buy)F1,F5 | $1.50 | Apr 8, 2015 | M | 20,000 | D | — | Jan 30, 2018 | Common Stock, no par value | 20,000 | 0 | D |
| Stock Option (right to buy)F1,F6 | $0.77 | Apr 8, 2015 | M | 60,000 | D | — | May 13, 2019 | Common Stock, no par value | 60,000 | 0 | D |
| Stock Option (right to buy)F1,F7 | $1.81 | Apr 8, 2015 | M | 20,000 | D | — | Apr 27, 2020 | Common Stock, no par value | 20,000 | 5,000 | D |
| Stock Option (right to buy)F1,F8 | $1.03 | Apr 8, 2015 | M | 30,000 | D | — | Jun 3, 2021 | Common Stock, no par value | 30,000 | 20,000 | D |
| Stock Option (right to buy)F1,F9 | $0.95 | Apr 8, 2015 | M | 60,000 | D | — | Nov 23, 2021 | Common Stock, no par value | 60,000 | 40,000 | D |
| Stock Option (right to buy)F1,F10 | $1.20 | Apr 8, 2015 | M | 21,600 | D | — | Apr 3, 2022 | Common Stock, no par value | 21,600 | 14,400 | D |
| Stock Option (right to buy)F1,F11 | $1.94 | Apr 8, 2015 | M | 5,600 | D | — | Jul 16, 2022 | Common Stock, no par value | 5,600 | 8,400 | D |
Explanation of responses
- F1Issued in consideration of the named person's service as an officer of the issuer.
- F10Becomes or became exercisable in cumulative installments of 7,200 shares each on April 3 of 2013, 2014, 2015, 2016 and 2017.
- F11Becomes or became exercisable in cumulative installments of 2,800 shares each on July 16 of 2013, 2014, 2015, 2016 and 2017.
- F2Became exercisable as to 24,000 shares on June 10, 2010, and in cumulative further installments of 8,000 shares each on October 25 of 2010 and 2011.
- F3Became exercisable as to 6,000 shares on June 10, 2010, and in cumulative further installments of 2,000 shares each on February 27 of 2011 and 2012.
- F4Became exercisable as to 8,000 shares on June 10, 2010, and in cumulative further installments of 4,000 shares each on July 30 of 2010, 2011 and 2012.
- F5Became exercisable as to 8,000 shares on June 10, 2010, and in cumulative further installments of 4,000 shares each on January 30 of 2011, 2012 and 2013.
- F6Became exercisable in cumulative installments of 12,000 shares each on May 13 of 2010, 2011, 2012, 2013 and 2014.
- F7Becomes or became exercisable in cumulative installments of 5,000 shares each on April 27 of 2011, 2012, 2013, 2014 and 2015.
- F8Becomes or became exercisable in cumulative installments of 10,000 shares each on June 3 of 2012, 2013, 2014, 2015 and 2016.
- F9Becomes or became exercisable in cumulative installments of 20,000 shares each on November 23 of 2012, 2013, 2014, 2015 and 2016.