0001191981-14-000006.txt : 20141112 0001191981-14-000006.hdr.sgml : 20141111 20141112175815 ACCESSION NUMBER: 0001191981-14-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141107 FILED AS OF DATE: 20141112 DATE AS OF CHANGE: 20141112 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 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 301-951-6122 MAIL ADDRESS: STREET 1: 2 BETHESDA METRO CENTER STREET 2: 14TH FL 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: 141215550 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 2014-11-07 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 9030 I ESOP/401(k) Common Stock 2014-11-07 4 M 0 20000 4.81 A 295603.47 D Common Stock 2014-11-07 4 M 0 60000 3.48 A 295603.47 D Common Stock 2014-11-07 4 S 0 80000 15.8217 D 295603.47 D Common Stock 2014-11-10 4 M 0 44424 4.81 A 295603.47 D Common Stock 2014-11-10 4 S 0 44424 15.60 D 295603.47 D Common Stock 2014-11-11 4 M 0 50000 4.81 A 295603.47 D Common Stock 2014-11-11 4 S 0 50000 15.545 D 295603.47 D Common Stock 2014-11-12 4 M 0 19700 4.81 A 288641.47 D Common Stock 2014-11-12 4 S 0 19700 15.40 D 288641.47 D Common Stock 2014-11-12 4 S 0 6962 15.4454 D 288641.47 D Options 4.81 2014-11-12 4 M 0 19700 0 D 2010-01-07 2019-01-07 Common Stock 19700 223128 D Options 4.81 2014-11-11 4 M 0 50000 0 D 2010-01-07 2019-01-07 Common Stock 50000 242828 D Options 4.81 2014-11-10 4 M 0 44424 0 D 2010-01-07 2019-01-07 Common Stock 44424 292828 D Options 3.48 2014-11-07 4 M 0 60000 0 D 2011-02-10 2020-02-10 Common Stock 60000 0 D Options 4.81 2014-11-07 4 M 0 20000 0 D 2010-01-07 2019-01-07 Common Stock 20000 337252 D Price reflects weighted average sales price; actual sale prices ranged from $15.80 to $15.84. 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. Sales made pursuant to a previously established Rule 10b5-1 Plan. 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 275,000 shares of common stock with an exercise price of $6.24 held by the reporting person on August 13, 2009 became exercisable for 357,252 shares of common stock with an exercise price of $4.81. Gordon O'Brien 2014-11-12