0001191981-13-000006.txt : 20130913 0001191981-13-000006.hdr.sgml : 20130913 20130913171342 ACCESSION NUMBER: 0001191981-13-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130911 FILED AS OF DATE: 20130913 DATE AS OF CHANGE: 20130913 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN CAPITAL, LTD CENTRAL INDEX KEY: 0000817473 IRS NUMBER: 521451377 BUSINESS ADDRESS: STREET 1: 2 BETHESDA METRO CENTER STREET 2: 14TH FL, ATT TREASURY, CASH AND BANKING CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 3019516122 MAIL ADDRESS: STREET 1: 2 BETHESDA METRO CENTER STREET 2: 14TH FL, ATT TREASURY, CASH AND BANKING CITY: BETHESDA STATE: MD ZIP: 20814 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN CAPITAL STRATEGIES LTD DATE OF NAME CHANGE: 19970623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OBRIEN GORDON CENTRAL INDEX KEY: 0001191981 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00149 FILM NUMBER: 131097038 MAIL ADDRESS: STREET 1: 2 BETHESDA METRO CENTER STREET 2: 14TH FLOOR CITY: BETHESDA STATE: MD ZIP: 20814 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-09-11 0000817473 AMERICAN CAPITAL, LTD ACAS 0001191981 OBRIEN GORDON 2 BETHESDA METRO CENTER 14TH FLOOR BETHESDA MD 20814 0 1 0 0 Pres., Specialty Fin. & Ops. Common Stock 9039 I ESOP/401(k) Common Stock 2013-09-11 4 M 0 68537 2.15 A 311247.47 D Common Stock 2013-09-11 4 S 0 68537 13.30 D 311247.47 D Common Stock 2013-09-13 4 M 0 5249 2.15 A 311247.47 D Common Stock 2013-09-13 4 S 0 5249 13.1501 D 311247.47 D Options 2.15 2013-09-11 4 M 0 68537 0 D 2010-04-24 2019-04-24 Common Stock 68537 0 D Options 2.15 2013-09-13 4 M 0 5249 0 D 2010-04-24 2019-04-24 Common Stock 5249 0 D Price reflects weighted average sales price; actual sale prices ranged from $13.150 to $13.155. 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. On June 11, 2009, the Company declared a stock dividend payable to all holders of record of common stock on June 22, 2009. Pursuant to the anti-dilution provisions of the Company's stock option plan, an option for 56,798 shares of common stock with an exercise price of $2.79 held by the reporting person on June 22, 2009 became exercisable for 73,786 shares of common stock with an exercise price of $2.15. The option vested in three equal installments beginning on April 24, 2010. Gordon O'Brien 2013-09-13